Natasha F. Collie
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.
Natasha Fedoseyev Collie, who also goes by Natasha F Collie, Natasha Collie, Natasha Fedoseev, Natasha Fedoseyev, was a registered financial professional .
Natasha is a previously registered financial professional and started their career in finance in 2007. Natasha had worked at 4 firms and has passed the Series 66, Series 7TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2018 - June 3, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 3, 2018 - June 3, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 16, 2015 - April 20, 2016
STRATEGIC ADVISERS LLC
March 12, 2015 - April 12, 2016
FIDELITY BROKERAGE SERVICES LLC
September 29, 2014 - December 5, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 29, 2014 - December 5, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 30, 2008 - April 2, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 30, 2008 - April 2, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 22, 2007 - July 10, 2008
MORGAN STANLEY & CO. LLC
October 1, 2007 - July 10, 2008
MORGAN STANLEY & CO. LLC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
Series 7TO
Date: 3/25/2024
General Securities Representative ExaminationCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
