NH
Nathan A. Hockley
LIFEMARK SECURITIES
Gettysburg, PA 17325
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CRD#: 4315690
NH
Professional summary
Nathan Adam Hockley is a registered financial advisor currently at LIFEMARK SECURITIES CORP. located in Gettysburg, Pennsylvania.
Nathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Nathan has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1)IMPACT SOLUTION SERVICES / INVESTMENT RELATED / 55 SEMINARY AVE., PO Box 3663 GETTYSBURG, PA 17325 / PARTNER, INDEPENDENT INSURANCE AGENT, CONSULTANT/ 09/2022 / 90 hours/month / 70 hours/month during securities trading hours / SALES AND SERVICE OF LIFE & HEALTH INSURANCE, ALSO PROVIDE EMPLOYEE BENEFIT CONSULTING. 2)VOLUNTEER ON CENTER FOR YOUTH AND COMMUNITY DEVELOPMENT, NONPROFIT, COMMITTEE MEMBER. Rep attends/consult with various non profit meetings/committees and volunteer activities as needed.
CRS (Client Relationship Summary) - RIA
Click below to view Nathan Adam Hockley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nathan Adam Hockley's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 26, 2018 - Present
LIFEMARK SECURITIES CORP.
Office #1: 132 Buford Ave, Gettysburg, PA 17325Office #2: 55 Seminary Ave., Gettysburg, PA 17325RIA
BD
CRD#: 16204
Gettysburg, PA
Current
September 26, 2018 - Present
LIFEMARK SECURITIES CORP.
Office #1: 55 Seminary Ave., Gettysburg, PA 17325RIA
BD
CRD#: 16204
Gettysburg, PA
Past
January 4, 2010 - September 10, 2018
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
GETTYSBURG, PA
Past
January 4, 2010 - September 10, 2018
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
GETTYSBURG, PA
Past
June 2, 2006 - December 31, 2009
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
GETTYSBURG, PA
Past
January 1, 2004 - December 31, 2009
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
GETTYSBURG, PA
Past
March 15, 2001 - January 1, 2004
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Maryland(9/26/2018)
RR
Pennsylvania(9/26/2018)
IAR
Pennsylvania(9/26/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
400 West Metro Park, Rochester, NY 14623
Mailing Address
400 West Metro Park, Rochester, NY 14623
Phone number
(585) 424-5672
Established
New York since 04/04/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
88
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
LIFEMARK SECURITIES CORP.
CRD#: 16204Gettysburg, PA 17325TRUST BUT VERIFY
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