Nathaniel A. Gale
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.
Nathaniel Austgus Gale, who also goes by Nate Gale, Nathaniel Augustus Gale, was a registered financial professional .
Nathaniel is a previously registered financial professional and started their career in finance in 2012. Nathaniel had worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Education
North Dakota State University
Bachelor of Science (BS) - Business Administration
1996
Experience
May 5, 2022 - October 15, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
March 16, 2022 - October 15, 2024
FIDELITY BROKERAGE SERVICES LLC
January 31, 2014 - March 3, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
February 8, 2012 - March 3, 2022
AMERIPRISE FINANCIAL SERVICES, 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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
Red Flags
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Company Information
FIDELITY PERSONAL AND WORKPLACE ADVISORS
Planning ConsultantCRD#: 288590TRUST BUT VERIFY
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