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NC

Natalie J. Carter

WESTERN STRATEGIC ASSETS, L.L.C.
Fort Worth, TX 76107
Some features on this profile are disabled
CRD#: 5723940
NC

Professional summary

Natalie Jennings Carter, who also goes by Natalie Nicole Jennings, is a registered financial professional currently at WESTERN STRATEGIC ASSETS, L.L.C. located in Fort Worth, Texas.

Natalie is registered as a RR (Registered Representative) and started their career in finance in 2010. Natalie has worked at 2 firms and has passed the Series 66, Series 99TO, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Natalie Nicole Jennings

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Natalie Jennings Carter's CRS (Customer Relationship Summary).
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®
None

Experience

Current

November 24, 2009 - Present

WESTERN STRATEGIC ASSETS, L.L.C.

Office #1: 3100 W. Seventh Street Suite 300, Fort Worth, TX 76107
BD
CRD#: 118757
Fort Worth, TX
Past

February 26, 2010 - May 2, 2019

WESTERN RESEARCH AND MANAGEMENT, L.L.C.

RIA
CRD#: 109509
FORT WORTH, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Texas
(2/26/2010)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/25/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/23/2009
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

WS
WESTERN STRATEGIC ASSETS, L.L.C.
WESTERN STRATEGIC ADVISORS, L.L.C. | WESTERN STRATEGIC ASSETS, L.L.C. | WESTERN STRATEGIC ADVISORS, L.L.P.

CRD#: 118757 / SEC#: , 8-53684

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
3100 W. Seventh Street Suite 300, Fort Worth, TX 76107
Mailing Address
3100 W. Seventh Street Suite 300, Fort Worth, TX 76107
Phone number
(817) 877-9980
Established
Texas since 09/09/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
THE WESTERN COMPANY OF TEXAS, LLCMANAGING MEMBER
COLLIER, KALLEN JFINOP / POO / PFO7900172
WOODARD, DONALD MORRIS JRPRESIDENT / CCO1214213

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.

Company Information

WESTERN STRATEGIC ASSETS, L.L.C.

CRD#: 118757Fort Worth, TX 76107

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