Nathan E. Gainer
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 Edward Gainer was a registered financial professional .
Nathan is a previously registered financial professional and started their career in finance in 2009. Nathan had worked at 9 firms and has passed the Series 63, SIE 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 22, 2014 - November 21, 2014
PHX FINANCIAL, INC.
November 14, 2013 - March 13, 2014
ALLIED MILLENNIAL PARTNERS, LLC
June 27, 2013 - September 9, 2013
BLACKBOOK CAPITAL, LLC
November 19, 2012 - July 10, 2013
ROCKWELL GLOBAL CAPITAL LLC
July 30, 2012 - December 5, 2012
PHX FINANCIAL, INC.
June 22, 2012 - August 17, 2012
OBSIDIAN FINANCIAL GROUP, LLC
December 2, 2010 - July 2, 2012
SPARTAN CAPITAL SECURITIES, LLC
July 16, 2010 - November 8, 2010
JOHN THOMAS FINANCIAL
September 1, 2009 - August 3, 2010
SPARTAN CAPITAL SECURITIES, LLC
July 29, 2009 - September 14, 2009
FIRST MIDWEST SECURITIES, INC.
July 21, 2009 - August 17, 2009
REGAL SECURITIES, INC.
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
PHX FINANCIAL, INC.
CRD#: 144403 / SEC#: , 8-67653
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
Red Flags
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