Nathan M. Harris
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 Michael Harris, who also goes by Nathan Michael Harris, Nathan Harris, was a registered financial professional .
Nathan is a previously registered financial professional and started their career in finance in 2001. Nathan had worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, 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
August 9, 2022 - February 1, 2024
STRADA FINANCIAL GROUP LLC
February 12, 2020 - August 8, 2022
AVANTAX ADVISORY SERVICES
November 12, 2019 - August 8, 2022
AVANTAX INVESTMENT SERVICES, INC.
February 2, 2001 - December 31, 2001
WMA SECURITIES, INC.
Primary Firm SEC Registration
STRADA FINANCIAL GROUP LLC
CRD#: 316987 / SEC#: 801-129391
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: 11/12/2019
General Securities Representative ExaminationCurrent Firm
STRADA FINANCIAL GROUP LLC
CRD#: 316987 / SEC#: 801-129391
Contact information
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 206 |
| AUM (Assets Under Management) | $ 125,903,270 |
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.
