Nathaniel S. Wharry
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.
Nathaniel Simon Wharry was a registered financial professional .
Nathaniel is a previously registered financial professional and started their career in finance in 2004. Nathaniel had worked at 4 firms and has passed the Series 63, Series 7 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
February 25, 2013 - April 1, 2014
ARDOUR CAPITAL INVESTMENTS, LLC
March 5, 2012 - October 15, 2012
ARDOUR CAPITAL INVESTMENTS, LLC
November 8, 2010 - January 14, 2011
NYLIFE SECURITIES LLC
May 29, 2007 - September 9, 2010
CITIGROUP GLOBAL MARKETS INC.
March 11, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
April 5, 2004 - March 28, 2005
NYLIFE SECURITIES 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
ARDOUR CAPITAL INVESTMENTS, LLC
CRD#: 120574 / SEC#: , 8-65317
Contact information
FINRA licenses (9 States and Territories)
Documents
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.
