Nathan R. Rea
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 Robert Rea, who also goes by Nathan Rea, was a registered financial professional .
Nathan is a previously registered financial professional and started their career in finance in 2002. Nathan had worked at 7 firms and has passed the Series 66, SIE, Series 3, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2015 - February 13, 2023
MISSIONSQUARE INVESTMENT SERVICES
April 18, 2011 - January 2, 2015
NAVY FEDERAL INVESTMENT SERVICES, LLC
April 12, 2011 - January 2, 2015
NAVY FEDERAL ASSET MANAGEMENT, LLC
February 26, 2010 - December 17, 2010
FINANCIAL INVESTMENTS, INC.
November 2, 2009 - December 16, 2009
SCOTT & STRINGFELLOW, LLC
November 2, 2009 - December 16, 2009
SCOTT & STRINGFELLOW, LLC
September 26, 2005 - June 4, 2009
LPL FINANCIAL LLC
September 26, 2005 - June 4, 2009
LPL FINANCIAL LLC
March 13, 2003 - September 15, 2005
GOLDMAN SACHS CUSTODY SOLUTIONS
May 22, 2002 - September 16, 2002
LPL FINANCIAL LLC
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
Current Firm
MISSIONSQUARE INVESTMENT SERVICES
CRD#: 23189 / SEC#: , 8-40268
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTERNATIONAL CITY MANAGEMENT ASSOCIATION RETIREMENT CORPORATION D/B/A MISSIONSQUARE RETIREMENT | MEMBER/OWNER | |
| GANEY, PETER DAVIDSON | MANAGER | 2282691 |
| HOGENDORN, SHANNON DANIEL | CHIEF OPERATIONS OFFICER | 3221945 |
| HOGENDORN, SHANNON DANIEL | PRINCIPAL MANAGER | 3221945 |
| RICHARDS, CLIFF LAWRENCE | CHIEF COMPLIANCE OFFICER | 2974428 |
| WHITTY, RICHARD PATRICK | TREASURER/FINOP | 1988149 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
