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ND

Nathaniel L. Dekanter

WESTMINSTER RESEARCH ASSOCIATES LLC
Stamford,, CT 06902
Some features on this profile are disabled
CRD#: 4622304
ND

Professional summary

Nathaniel Locke Dekanter, who also goes by Nathaniel Dekanter, is a registered financial professional currently at WESTMINSTER RESEARCH ASSOCIATES LLC located in Stamford,, Connecticut.

Nathaniel is registered as a RR (Registered Representative) and started their career in finance in 2003. Nathaniel has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nathaniel Dekanter

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nathaniel Locke Dekanter'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®
None

Experience

Current

August 25, 2004 - Present

WESTMINSTER RESEARCH ASSOCIATES LLC

Office #1: 262 Harbor Drive, Stamford,, CT 06902Office #2: 22 Vanderbilt Avenue 20 Floor, New York, NY 10017
BD
CRD#: 14508
Stamford,, CT
Past

April 3, 2007 - February 8, 2011

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NEW YORK, NY
Past

April 15, 2003 - February 3, 2004

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
MIAMI, FL
Past

March 24, 2003 - February 3, 2004

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

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

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
Connecticut
(10/30/2024)
RR
New York
(8/25/2004)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/11/2003
Uniform Combined 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: 3/21/2003
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

WR
WESTMINSTER RESEARCH ASSOCIATES LLC
C B INTERNATIONAL SECURITIES,INC. | WESTMINSTER RESEARCH ASSOCIATES LLC | WESTMINSTER RESEARCH ASSOCIATES INC. | TD COWEN WESTMINSTER RESEARCH | COUNTY NATWEST INTERNATIONAL LIMITED

CRD#: 14508 / SEC#: , 8-28900

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

Main Address
262 Harbor Drive, Stamford, CT 06902
Mailing Address
22 Vanderbilt Avenue 20floor, New York, NY 10017
Phone number
(212) 448-6050
Established
Delaware since 09/27/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
COWEN EXECUTION HOLDCO LLCDIRECT PARENT
BOWEN-FARSEWICZ, MELISSA ANNPRINCIPAL FINANCIAL OFFICER AND FINOP6022667
BROADBERY, MICHAELCHIEF COMPLIANCE OFFICER6947899
HOLMES, JOHNCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER1281617
TISCORNIA, CHRISTOPHERCHIEF EXECUTIVE OFFICER2836418

Disclosures

Regulatory Event1

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.

Company Information

WESTMINSTER RESEARCH ASSOCIATES LLC

CRD#: 14508Stamford,, CT 06902

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