Natalie G. Wolfsen
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.
Natalie Grace Wolfsen, who also goes by Natalie Grace Lera, Natalie Lera Wolfsen, was a registered financial professional .
Natalie is a previously registered financial professional and started their career in finance in 2005. Natalie had worked at 6 firms and has passed the Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2024 - March 31, 2026
BRINKER CAPITAL SECURITIES, LLC
August 15, 2014 - April 30, 2021
ASSETMARK BROKERAGE, LLC
July 2, 2014 - August 15, 2014
CAPITAL BROKERAGE CORPORATION
November 8, 2011 - May 5, 2014
FEF DISTRIBUTORS, LLC
July 10, 2009 - October 24, 2011
PERSHING LLC
May 26, 2005 - July 7, 2009
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 3/30/2024
General Securities Representative ExaminationCurrent Firm
BRINKER CAPITAL SECURITIES, LLC
CRD#: 38123 / SEC#: , 8-48110
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
