Nathan D. Boos
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.
Nathan David Boos was a registered financial professional .
Nathan is a previously registered financial professional and started their career in finance in 1999. Nathan had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2006 - July 19, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 30, 2006 - July 19, 2016
TD AMERITRADE, INC.
April 22, 2006 - July 19, 2016
TD AMERITRADE, INC.
February 28, 2006 - April 22, 2006
TD AMERITRADE CLEARING, INC.
July 31, 2003 - March 1, 2006
TD AMERITRADE, INC.
April 26, 2000 - March 1, 2006
TD AMERITRADE, INC.
November 4, 1999 - December 13, 1999
PHILLIPS & COMPANY
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
Current Firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
