Joseph A. Nathan

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CRD#: 4993897

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.

Joseph Anthony Nathan was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 2005. Joseph had worked at 5 firms and has passed the Series 65, Series 66, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

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.

AMERICAN COMMUNITY LIFE INSURANCE 3/31/04 DIRECTOR, LIVONIA, MI NON-INVESTMENT RELATED. 8 HOURS PER MONTH, MOSTLY IN THE EVENING, REVIEWING COMPANY STRATEGY AND PARTICIPATING IN THE AUDIT COMMITTEE AND COMPENSATION COMMITTEE. AZA GLOBAL LLC, NOT INVESTMENT-RELATED, 755 WEST BIG BEAVER ROAD SUITE 1700 TROY, MI 48084, NOT PRIMARY MARKET LOANS, POSITION IS MANAGER, STARTED 2/2007, 5 HOURS PER MONTH, NONE DURING SECURITIES TRADING HOURS, DUTY INCLUDES CONSULTING.

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

July 2, 2010 - November 7, 2024

AZA CAPITAL MANAGEMENT

RIA

CRD#: 109784

CHICAGO, IL

Past

February 23, 2010 - July 14, 2011

BROADSTONE SECURITIES

CRD#: 101600

TROY, MI

Past

January 31, 2007 - March 7, 2008

RIVER CAPITAL MARKETS, LLC

CRD#: 103744

BLOOMFIELD HILLS, MI

Past

September 22, 2006 - November 1, 2006

LEONARD & COMPANY

CRD#: 36527

TROY, MI

Past

August 19, 2005 - May 22, 2006

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

PALM DESERT, CA

Past

July 14, 2005 - May 22, 2006

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

PALM DESERT, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AZA CAPITAL MANAGEMENT

ACENTUS PARTNERS | INSIGHT 2811 INC | AZA CAPITAL MANAGEMENT | ARTHUR ZASKE & ASSOCIATES

CRD#: 109784 / SEC#: 801-54428

RIA

Registered Investment Advisory firm - (5/12/1997 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/2/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 8/3/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 7/13/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/17/2007

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 3/24/2006

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/28/2005

General Securities Sales Supervisor - Options Module Examination

Current Firm

AZA CAPITAL MANAGEMENT

ACENTUS PARTNERS | INSIGHT 2811 INC | AZA CAPITAL MANAGEMENT | ARTHUR ZASKE & ASSOCIATES

CRD#: 109784 / SEC#: 801-54428

RIA

Registered Investment Advisory firm - (5/12/1997 Approved)

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Contact information

Main Address

141 W Jackson Blvd Suite 3332, Chicago, IL 60604

Mailing Address

Phone number

(312) 429-0880

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AZA CAPITAL MANAGEMENT ADV PART 2 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	845
AUM (Assets Under Management)	$ 313,995,693

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/18/2025	Cover Page	Report
11/13/2024	Cover Page	Report
12/14/2023	Cover Page	Report
02/14/2023	Cover Page	Report

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.

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Joseph A. Nathan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BROADSTONE SECURITIES

RIVER CAPITAL MARKETS, LLC

LEONARD & COMPANY

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

AZA CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 6/2/2010

Series 66

Date: 8/3/2005

Series 7

Date: 7/13/2005

Series 24

Date: 4/17/2007

Series 10

Date: 3/24/2006

Series 9

Date: 12/28/2005

Current Firm

AZA CAPITAL MANAGEMENT

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

AZA CAPITAL MANAGEMENT

TRUST BUT VERIFY

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