Nathan Shapiro
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 Shapiro was a registered financial professional .
Nathan is a previously registered financial professional and started their career in finance in 1970. Nathan had worked at 5 firms and has passed the SIE, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2014 - March 6, 2023
NEW VERNON WEALTH MANAGEMENT LLC
August 6, 2003 - March 27, 2013
SF INVESTMENTS, INC.
March 27, 1998 - November 30, 2006
PEKIN HARDY STRAUSS, INC.
October 23, 1973 - February 4, 2015
SF INVESTMENTS, INC.
August 22, 1972 - August 9, 1976
SUCSY, FISCHER & COMPANY
April 15, 1970 - July 19, 1972
SEARS SUCSY & CO
Primary Firm SEC Registration
NEW VERNON WEALTH MANAGEMENT LLC
CRD#: 164775 / SEC#: 801-77619
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 1
Date: 4/8/1970
Registered Representative ExaminationSeries 00
Date: 8/22/1972
General Securities Principal ExaminationCurrent Firm
NEW VERNON WEALTH MANAGEMENT LLC
CRD#: 164775 / SEC#: 801-77619
Contact information
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 416 |
| AUM (Assets Under Management) | $ 627,902,105 |
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.
