Nata J. Treise
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Nata Joanne Treise, who also goes by Nata Treise, Nata Joanne Trunfio, was a registered financial professional .
Nata is a previously registered financial professional and started their career in finance in 1998. Nata had worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 8, 2017 - December 31, 2018
SIGNATURE ESTATE SECURITIES, LLC
September 3, 2013 - December 31, 2017
DELTA SECURITIES COMPANY, LLC
February 21, 2007 - July 26, 2013
FSC SECURITIES CORPORATION
July 7, 2003 - December 31, 2006
SUMMIT BROKERAGE SERVICES, INC.
April 11, 2001 - June 6, 2003
SIGNATOR INVESTORS, INC.
May 3, 2000 - August 4, 2000
NELSON IVEST BROKERAGE SERVICES, INC.
May 15, 1998 - August 20, 1999
WS GRIFFITH SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SIGNATURE ESTATE SECURITIES, LLC
CRD#: 18923 / SEC#: , 8-37065
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
