NG
Nathan E. Gierke
WEDBUSH SECURITIES
Pasadena, CA 91101
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CRD#: 5020882
NG
Professional summary
Nathan Edwin Gierke, who also goes by Nate Edwin Gierke, is a registered financial advisor currently at WEDBUSH SECURITIES INC. located in Pasadena, California.
Nathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Nathan has worked at 9 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nate Edwin Gierke
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. Pacific Advisory Capital Group, LLC d/b/a The Pacific Group; Investment-related; 500 South Grand Avenue, Ste 1650, Los Angeles, CA 90071; Registered Investment Adviser; CCO/COO; Start date: 08/2020; Approximate number of hours per month devoted to this business: 120; approximate number of hours during securities trading hours: 80; Oversee Firm Operations And Compliance Functions 2. Sootchy, Inc.; Not Investment-Related; 500 South Grand Avenue, Ste 1650, Los Angeles, CA 90071; Technology Company; Assist In Coordination With Affiliated Companies; Start date: 08/2020; 5 Hrs/Mth; 0 During Trading Hours; Provide Assistance In Coordinating The Business Activities Of The Firm With Affiliated Firms. 3. Sootchy Securities, LLC; Investment Related; 500 S Grand Ave, Ste 1650, Los Angeles, CA 90071; Registered Investment Adviser; Title- CCO; Start- 8/2020; 50 Hrs/Mth; 20 During Trading Hours; Oversee Firm Compliance Functions
CRS (Client Relationship Summary) - RIA
Click below to view Nathan Edwin Gierke's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nathan Edwin Gierke'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®
NoneExperience
Current
July 7, 2022 - Present
WEDBUSH SECURITIES INC.
Office #1: 225 S Lake Ave Penthouse, Pasadena, CA 91101RIA
BD
CRD#: 877
Pasadena, CA
Current
July 7, 2022 - Present
WEDBUSH SECURITIES INC.
Office #1: 225 S Lake Ave Penthouse, Pasadena, CA 91101RIA
BD
CRD#: 877
Pasadena, CA
Past
March 26, 2021 - July 5, 2022
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Los Angeles, CA
Past
August 24, 2020 - July 5, 2022
SOOTCHY SECURITIES, LLC
RIA
CRD#: 307621
LOS ANGELES, CA
Past
August 14, 2020 - July 5, 2022
THE PACIFIC GROUP
RIA
CRD#: 297601
LOS ANGELES, CA
Past
March 6, 2017 - April 27, 2018
KOBO RETIREMENT STRATEGIES
RIA
CRD#: 283743
PASADENA, CA
Past
October 28, 2015 - August 17, 2020
SHUSTER ADVISORY GROUP, LLC
RIA
CRD#: 170233
PASADENA, CA
Past
September 18, 2013 - January 9, 2020
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
PASADENA, CA
Past
September 17, 2013 - August 4, 2020
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
PASADENA, CA
Past
November 21, 2012 - September 6, 2013
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
WOODLAND HILLS, CA
Past
February 12, 2010 - September 6, 2013
NEW ENGLAND SECURITIES
BD
CRD#: 615
WOODLAND HILLS, CA
Past
February 11, 2010 - September 6, 2013
NEW ENGLAND SECURITIES
RIA
CRD#: 615
WOODLAND HILLS, CA
Past
February 15, 2006 - November 25, 2009
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
SAN DIEGO, CA
Past
November 22, 2005 - November 25, 2009
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
SAN DIEGO, 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".
WEDBUSH SECURITIES INC.
WEDBUSH MORGAN SECURITIES INC. | WEDBUSH, NOBLE, COOKE, INC | WEDBUSH SECURITIES, INC. | WEDBUSH SECURITIES INC. | WEDBUSH PACGROW
CRD#: 877 / SEC#: 801-6358, 8-12987
RIA
Registered Investment Advisory firm - SEC (2/27/1970 Approved)California
Registered Investment Advisory firm - SEC (8/28/2006 Cancelled)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
California(7/7/2022)
IAR
California(7/7/2022)
RR
Hawaii(6/14/2023)
RR
Michigan(12/10/2024)
RR
North Carolina(2/10/2023)
RR
North Dakota(2/17/2023)
RR
Oregon(2/17/2023)
RR
Vermont(2/17/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 2/21/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
WEDBUSH SECURITIES INC.
WEDBUSH MORGAN SECURITIES INC. | WEDBUSH, NOBLE, COOKE, INC | WEDBUSH SECURITIES, INC. | WEDBUSH SECURITIES INC. | WEDBUSH PACGROW
CRD#: 877 / SEC#: 801-6358, 8-12987
RIA
Registered Investment Advisory firm - SEC (2/27/1970 Approved)California
Registered Investment Advisory firm - SEC (8/28/2006 Cancelled)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
225 S. Lake Ave Penthouse 225 S. Lake Ave Penthouse, Pasadena, CA 91101
Mailing Address
225 S. Lake Ave Penthouse Attn: Compliance, Pasadena, CA 91101
Phone number
(213) 688-8000
Established
California since 07/08/1966
Firm type
Corporation
Fiscal year end
June
Firm Size
Large
# of Employees
897
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEDBUSH FINANCIAL SERVICES, LLC | OWNER | |
| BILLINGS, DANIEL ERIC | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR | 4568232 |
| BLAND, GEOFFREY CONOR | DIRECTOR | 7358773 |
| DEMPSEY, FRANCIS BURKE | EXECUTIVE VICE PRESIDENT | 2428325 |
| DRUCH, ANDREW WALTER | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR | 1688071 |
| FITZSIMMONS, ROBERT GERARD | EXECUTIVE VICE PRESIDENT | 1878661 |
| FRAUNCES, KIRSTEN CAMPBELL | EXECUTIVE VICE PRESIDENT | 2933930 |
| HULTGREN, DONALD WAYNE | EXECUTIVE CHAIR, DIRECTOR | 1475369 |
| MONE, CHRISTOPHER MICHAEL | EXECUTIVE VICE PRESIDENT | 2401952 |
| PARRODE, RODRIGO NMN | EVP, CHIEF OPERATING OFFICER | 4905345 |
| PASET, ROBERT EDWARD | EXECUTIVE VICE PRESIDENT | 1055902 |
| PRESTON, ERIN KATHLEEN | CHIEF COMPLIANCE OFFICER | 5314250 |
| WEDBUSH, GARY LANCE | PRESIDENT, DIRECTOR | 2234455 |
Regulatory assets under management
| Total Number of Accounts | 10,048 |
| AUM (Assets Under Management) | $ 5,684,848,455 |
Disclosures
| Regulatory Event | 147 |
| Civil Event | 3 |
| Arbitration | 60 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 04/26/2024 | ||
| 12/21/2022 |
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.
