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Nathan W. Wangerin

Some features on this profile are disabled
CRD#: 4669716
NW

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 Walter Wangerin was a registered financial professional .

Nathan is a previously registered financial professional and started their career in finance in 2003. Nathan had 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

None

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) Nathan Wangerin is dually registered with Thrivent Advisor Network, LLC d/b/a 5280 Associates and Purshe Kaplan Sterling Investments, Inc. ("PKS"). Mr. Wangerin has served as an investment advisor representative with TAN and a registered representative with PKS since 09/2020. Business is conducted from 501 S Cherry Street, Suite 490, Denver, CO, 80246. Approximately 90% of Mr. Wangerin's time is for services as an investment advisor representative and the balance as a registered representative. 2) Aaber-Wangerin, LLC - Not Investment Related - 501 S. Cherry St. Suite 490 Denver, Co 80246 - holds lease for the investment advisors - part owner - 10/2012 - 2 hours a month - 0 trading hours a month - I maintain the quickbooks_____ 3)Pre-Mndialito, LLC - Not investment related 14068 Ivy Ct, Thornton, Co 80602 - International Soccer tournament - Part owner - 1/20202 - less than one hour a month - 0 trading hours a month - I help the management group by consulting on how to host a good tournament._____ 4) AHW Advisors, LLC - Investment Related - 501 S. Cherry St, Suite 490 Denver Co 80246 - entity that runs the financials for 5280 Associates - CFO owner - 1/2018 - 5 hours a month 0 security hours a month - I manage the quickbooks_____ 5) Fixed Insurance - Investment related - 501 S Cherry st, ste 490 ,Denver, Co 80246 - Fixed/Traditional Insurance - Agent 09/2020 - 5 hours a month - 5 trading hours a month - sales of fixed/traditional insurance Products_____ 6) PKS Financial - Investment Related - 80 State St, Albany NY 12207 - Fixed/Traditional Insurance - Agnet - 09/2020 -5 hours a month - 5 trading hours a month - sales of fixed/Traditional Insurance products.______

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®
None

Experience

Past

September 24, 2020 - June 20, 2023

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Denver, CO
Past

September 11, 2020 - June 16, 2023

THRIVENT ADVISOR NETWORK, LLC

RIA
CRD#: 304569
Denver, CO
Past

January 15, 2010 - September 23, 2020

THRIVENT INVESTMENT MANAGEMENT INC.

RIA
CRD#: 18387
Denver, CO
Past

January 12, 2010 - September 23, 2020

THRIVENT INVESTMENT MANAGEMENT INC.

BD
CRD#: 18387
Denver, CO
Past

May 18, 2004 - August 2, 2006

THRIVENT INVESTMENT MANAGEMENT INC.

RIA
CRD#: 18387
COMMERCE CITY, CO
Past

August 12, 2003 - August 2, 2006

THRIVENT INVESTMENT MANAGEMENT INC.

BD
CRD#: 18387
COMMERCE CITY, CO

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
IAR
Series 66
Date: 1/14/2010
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: 1/11/2010
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.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

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