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Richard Donald Nadler

Richard D. Nadler

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CRD#: 4453072
Richard Donald Nadler

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.

Richard Donald Nadler, CFP®, who also goes by Rick Nadler, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 2001. Richard had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rick Nadler

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) 01/01/97 - BEGAN LECTURING ON ACCOUNTING AND FINANCE SUBJECTS AS AN ADJUNCT FACULTY FOR THE OHIO STATE UNIVERSITY AND FRANKLIN UNIVERSITY IN COLUMBUS, OHIO. THE CLASSES VARY DURING THE YEAR. DEVOTES 5 HRS/WK, NONE DURING TRADING. 2) 05/01/2011 - BECAME AN INDEPENDENT INSURANCE AGENT FOR VARIOUS INSURANCE COMPANIES LICENSED TO SELL LIFE INSURANCE PRODUCTS. INVESTMENT RELATED. DEVOTES 14 HRS/YR. 1 HR DURING TRADING. 3) 12/15/2011 - BECAME A BOARD MEMBER FOR ALL SAINTS CHURCH ENDOWMENT COMMITTEE NORTH HIGH STREET, WORTHINGTON, OH 43085. AS A BOARD MEMBER, MR. NADLER CANNOT ACT WITHOUT PERMISSION OF THE OTHER BOARD MEMBERS. NOT INVESTMENT RELATED. DEVOTES 1 HR/MONTH. NONE DURING TRADING. 4) 01/06/2012 - BECAME AN INVESTMENT ADVISORY COMMITTEE MEMBER OF THE DAVE THOMAS FOUNDATION FOR ADOPTION, 525 METRO PLACE NORTH DUBLIN, OH 43017. NOT INVESTMENT RELATED. DEVOTES 3 HRS/MONTH. 1 HR DURING TRADING. 5) 10/01/2009 - BECAME A PARTNER OF KEELER & NADLER, LLC, 485 Metro Place South, Suite 100, DUBLIN, OH 43017. INVESTMENT RELATED. DEVOTES 120 HOURS/MONTH, 7 HOURS DURING TRADING. 6) 11/2014 TO PRESENT - BECAME A REGISTERED REPRESENTATIVE OF PURSHE KAPLAN STERLING INVESTMENTS, INC. INVESTMENT RELATED. DEVOTES 3 HOURS/MONTH. 1 HOUR DURING TRADING. 7? Keeler and Nadler Financial Planning and Wealth Management. Investment related. 485 Metro Place South, Suite 100, Dublin OH 43017. RIA. Owner. 100 hours per month, all during trading.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 2003

Experience

Past

November 14, 2014 - April 24, 2023

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Dublin, OH
Past

October 20, 2014 - November 8, 2024

KEELER & NADLER FAMILY WEALTH

RIA
CRD#: 173079
DUBLIN, OH
Past

August 4, 2009 - December 12, 2014

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA
CRD#: 134139
DUBLIN, OH
Past

September 15, 2005 - December 7, 2009

EVERHART ADVISORS

RIA
CRD#: 107091
DUBLIN, OH
Past

September 13, 2005 - December 12, 2014

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
DUBLIN, OH
Past

December 16, 2002 - November 21, 2005

CHORNYAK & ASSOCIATES, LTD.

RIA
CRD#: 114778
COLUMBUS, OH
Past

October 5, 2001 - September 6, 2005

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/16/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/4/2001
General Securities Representative Examination

Current Firm

PK
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
New York since 12/16/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PKS HOLDINGS, LLCHOLDING CO.
BOHLEY, TRACEY LEACHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIEPRESIDENT4405001
KVAM, PETER DAVIDCHIEF COMPLIANCE OFFICER4301918
MOTTA, CHRISTOPHER JOHNCOO2741133
PURCELL, JOHN PETERC.E.O.1664678

Disclosures

Regulatory Event11
Arbitration2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

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