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Nathaniel J. Rose

HASI SECURITIES LLC
Annapolis, MD 21401
Some features on this profile are disabled
CRD#: 5889835
NR

Professional summary

Nathaniel John Rose, who also goes by Nate John Rose, Nathan John Rose, is a registered financial professional currently at HASI SECURITIES LLC located in Annapolis, Maryland.

Nathaniel is registered as a RR (Registered Representative) and started their career in finance in 2011. Nathaniel has worked at 1 firm and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nate John Rose | Nathan John Rose

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 Nathaniel John Rose'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®
None

Experience

Current

April 29, 2011 - Present

HASI SECURITIES LLC

Office #1: One Park Place Suite 200, Annapolis, MD 21401Office #2: One Park Place Suite 200, Annapolis, MD 21401
BD
CRD#: 154669
Annapolis, MD

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
California
(5/30/2011)
RR
Maryland
(4/29/2011)
RR
New York
(5/30/2011)

Exams

State Security Law Exam
RR
Series 63
Date: 5/27/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 4/28/2011
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HS
HASI SECURITIES LLC
HANNON ARMSTRONG SECURITIES, LLC | HASI SECURITIES, LLC | HASI SECURITIES LLC

CRD#: 154669 / SEC#: , 8-68659

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

Main Address
One Park Place Suite 200, Annapolis, MD 21401
Mailing Address
One Park Place Suite 200, Annapolis, MD 21401
Phone number
(410) 571-6167
Established
Maryland since 07/22/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
HAT HOLDINGS I LLCSOLE MEMBER
KASKY, CAROLYN JOCCO, FINOP, CFO, PRINCIPAL FINANCIAL OFFICER1189697
MCMAHON, DANIEL KEVINCHIEF EXECUTIVE OFFICER3038849
MCMAHON, DANIEL KEVINCOO, MANAGING PRINCIPAL, PRINCIPAL OPERATIONS OFFICER3038849

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

HASI SECURITIES LLC

CRD#: 154669Annapolis, MD 21401

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