Ryan D. Nauman
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.
Ryan Douglas Nauman, who also goes by Ryan D. Nauman, was a registered financial professional .
Ryan is a previously registered financial professional and started their career in finance in 2003. Ryan had worked at 5 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 8, 2019 - June 24, 2022
SEVEN SUMMITS INVESTMENT CONSULTING
November 26, 2013 - March 27, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
November 25, 2013 - March 27, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
June 23, 2011 - March 22, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
October 30, 2007 - March 22, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
August 18, 2006 - October 11, 2007
RBC CAPITAL MARKETS, LLC
August 18, 2006 - October 11, 2007
RBC CAPITAL MARKETS, LLC
August 12, 2006 - September 5, 2006
UBS FINANCIAL SERVICES INC.
August 12, 2006 - September 5, 2006
UBS FINANCIAL SERVICES INC.
February 11, 2004 - August 12, 2006
PIPER SANDLER & CO.
December 17, 2003 - August 12, 2006
PIPER SANDLER & CO.
State Registrations and Notice Filings
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Exams
Current Firm
SEVEN SUMMITS INVESTMENT CONSULTING
CRD#: 305809 / SEC#:
Contact information
Red Flags
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