NH
Nathaniel C. Hargraves
ROBINHOOD FINANCIAL
Lake Mary, FL 32746
Some features on this profile are disabled
CRD#: 5994176
NH
Professional summary
Nathaniel Clarence Hargraves III, who also goes by Nathaniel Clarence Hargraves III, Nathaniel Clarence Hargraves, Nathaniel Hargraves, Nathaniel C Hargraves, Nate Hargraves III, Nathaniel Clarence Hargraves Iii, is a registered financial professional currently at ROBINHOOD FINANCIAL, LLC located in Lake Mary, Florida.
Nathaniel is registered as a RR (Registered Representative) and started their career in finance in 2012. Nathaniel has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 4, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nathaniel Clarence Hargraves Iii | Nathaniel Clarence Hargraves | Nathaniel Hargraves | Nathaniel C Hargraves | Nate Hargraves Iii | Nathaniel Clarence Hargraves Iii
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.
1) Hargraves LLC|Investment Related: No|1240 Frogs Leap, Cicero, IN, 46034, USA|Performing/Fine Arts|Managing Partner|7/3/2020|Less than 20 hour/month - 0 during trading hours|My role is focused on marketing/social media engagement, sales, and business planning. Rental property management and sourcing, Vendor Management and tenant evaluation.
CRS (Client Relationship Summary) - BD
Click below to view Nathaniel Clarence Hargraves III'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®
NoneExperience
Current
July 30, 2024 - Present
ROBINHOOD FINANCIAL, LLC
Office #1: 500 Colonial Center Pky Suite 100, Lake Mary, FL 32746BD
CRD#: 165998
Lake Mary, FL
Past
August 31, 2021 - August 2, 2024
SCHWAB WEALTH ADVISORY, INC.
RIA
CRD#: 159035
INDIANAPOLIS, IN
Past
September 9, 2014 - August 31, 2021
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Indianapolis, IN
Past
September 9, 2014 - August 2, 2024
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Indianapolis, IN
Past
January 14, 2014 - August 12, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
INDIANAPOLIS, IN
Past
January 23, 2013 - August 12, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
INDIANAPOLIS, IN
Past
May 16, 2012 - November 30, 2012
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
INDIANAPOLIS, IN
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
Alabama(7/30/2024)
RR
Alaska(8/26/2024)
RR
Arizona(7/30/2024)
RR
Arkansas(8/22/2024)
RR
California(7/30/2024)
RR
Colorado(7/30/2024)
RR
Connecticut(7/30/2024)
RR
Delaware(8/28/2024)
RR
District of Columbia(7/30/2024)
RR
Florida(7/30/2024)
RR
Georgia(7/30/2024)
RR
Hawaii(9/9/2024)
RR
Idaho(7/30/2024)
RR
Illinois(8/23/2024)
RR
Indiana(7/30/2024)
RR
Iowa(7/30/2024)
RR
Kansas(7/30/2024)
RR
Kentucky(7/30/2024)
RR
Louisiana(7/30/2024)
RR
Maine(7/30/2024)
RR
Maryland(7/30/2024)
RR
Massachusetts(7/31/2024)
RR
Michigan(7/30/2024)
RR
Minnesota(8/26/2024)
RR
Mississippi(7/30/2024)
RR
Missouri(7/30/2024)
RR
Montana(7/30/2024)
RR
Nebraska(7/30/2024)
RR
Nevada(8/22/2024)
RR
New Hampshire(7/30/2024)
RR
New Jersey(7/30/2024)
RR
New Mexico(7/30/2024)
RR
New York(7/30/2024)
RR
North Carolina(7/30/2024)
RR
North Dakota(7/30/2024)
RR
Ohio(7/30/2024)
RR
Oklahoma(7/30/2024)
RR
Oregon(7/30/2024)
RR
Pennsylvania(7/30/2024)
RR
Puerto Rico(7/30/2024)
RR
Rhode Island(7/30/2024)
RR
South Carolina(7/30/2024)
RR
South Dakota(7/30/2024)
RR
Tennessee(7/30/2024)
RR
Texas(7/30/2024)
RR
Utah(7/30/2024)
RR
Vermont(7/30/2024)
RR
Virgin Islands(7/30/2024)
RR
Virginia(7/30/2024)
RR
Washington(7/30/2024)
RR
West Virginia(7/30/2024)
RR
Wisconsin(7/30/2024)
RR
Wyoming(7/30/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RF
ROBINHOOD FINANCIAL, LLC
CHRONOS FINANCIAL, LLC | ROBINHOOD FINANCIAL, LLC
CRD#: 165998 / SEC#: , 8-69188
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Mailing Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Phone number
(650) 761-7789
Established
Delaware since 08/24/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBINHOOD MARKETS, INC | 100% OWNER | |
| BILLINGS, MATTHEW JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1915377 |
| CAVALLARO, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER | 1607925 |
| GALVIN, SCOT SEAN | PRINCIPAL OPERATIONS OFFICER | 3226179 |
| KELATI, DANIEL T | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINOP | 3103432 |
| KOLLER, WALTER | CHIEF OPERATING OFFICER | 1932260 |
| QUIRK, STEVEN MARK | MANAGER | 2728768 |
| SUBRAMANIAN, SIVARAMAKRISHNAN | MANAGER | 7339479 |
Disclosures
| Regulatory Event | 55 |
| Arbitration | 6 |
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
ROBINHOOD FINANCIAL, LLC
CRD#: 165998Lake Mary, FL 32746TRUST BUT VERIFY
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