Nathan T. Fend
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 Thomas Fend, who also goes by Nathan Thaomas Fend, Nathan Fend, was a registered financial professional .
Nathan is a previously registered financial professional and started their career in finance in 2009. Nathan had worked at 2 firms and has passed the Series 66, Series 3 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
May 23, 2013 - October 19, 2018
KINGS POINT CAPITAL MANAGEMENT LLC
October 14, 2009 - May 8, 2012
GOLDMAN SACHS & CO. 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
KINGS POINT CAPITAL MANAGEMENT LLC
CRD#: 137728 / SEC#: 801-64958
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,334 |
| AUM (Assets Under Management) | $ 1,697,342,447 |
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.
