Nathan M. Teale
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 Michael Teale, who also goes by Nathan M Teale, Nathan Michael Teale, Nathan Teale, was a registered financial professional .
Nathan is a previously registered financial professional and started their career in finance in 2006. Nathan had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, 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
August 16, 2019 - March 14, 2022
ROBINHOOD FINANCIAL, LLC
February 10, 2011 - July 24, 2019
HARRISDIRECT LLC
February 10, 2011 - July 24, 2019
E*TRADE SECURITIES LLC
August 26, 2010 - February 4, 2011
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
November 27, 2009 - August 17, 2010
CHASE INVESTMENT SERVICES CORP.
November 27, 2009 - August 17, 2010
CHASE INVESTMENT SERVICES CORP.
May 21, 2009 - November 10, 2009
HARRISDIRECT LLC
October 18, 2006 - November 10, 2009
E*TRADE 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
ROBINHOOD FINANCIAL, LLC
CRD#: 165998 / SEC#: , 8-69188
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBINHOOD MARKETS, INC | 100% OWNER | |
| BILLINGS, MATTHEW JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1915377 |
| CAVALLARO, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER | 1607925 |
| GALVIN, SCOT SEAN | PRINCIPAL OPERATIONS OFFICER | 3226179 |
| KELATI, DANIEL T | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINOP | 3103432 |
| KOLLER, WALTER | CHIEF OPERATING OFFICER | 1932260 |
| QUIRK, STEVEN MARK | MANAGER | 2728768 |
| SUBRAMANIAN, SIVARAMAKRISHNAN | MANAGER | 7339479 |
Disclosures
| Regulatory Event | 56 |
| Arbitration | 7 |
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.
