NM
Nathan E. Moody
VALMARK ADVISERS
Falmouth, ME 04105
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CRD#: 6063517
NM
Professional summary
Nathan Edward Moody, who also goes by Nathan E Moody, Nathan Moody, is a registered financial advisor currently at VALMARK ADVISERS, INC. located in Falmouth, Maine and VALMARK SECURITIES, INC. located in Falmouth, Maine.
Nathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Nathan has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nathan E Moody | Nathan Moody
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) Healthcare Purchaser Alliance of Maine, Board of Directors, Board is comprised of 13 individuals representing public and private purchasers throughout the state. Board members most often serve in executive, finance, or human resource leadership roles within their organization, and in most cases are decision-makers in regard to benefit design and healthcare strategy, start date 2/1/22, not investment related, 1-5 hours per month./// 2) Lebel & Harriman, LLP; 366 US Route 1, Falmouth ME 04105; Retirement Plan Advisor & Partner; YES Investment Related: Start Date - 10/1/2016; Equity Partner; Approximately 40+ hrs. per month; Guaranteed Payments and Profit Distributions./// 3) Maine Retirement Savings Board; c/o Office of the State Treasurer, State House Station 39,Augusta, Maine 04333-0039; Board of Trustees, The Board meets monthly to oversee the Program, including the Program Administrator and the Program's investments. The Board develops the rules and policies that guide MERIT. Board meetings are open to the public; YES Investment Related; Start Date 4/1/2024; Approximately 1-5 hrs. per month; Volunteer Position.///
CRS (Client Relationship Summary) - RIA
Click below to view Nathan Edward Moody'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 27, 2020 - Present
VALMARK ADVISERS, INC.
Office #1: 366 Us Route One, Falmouth, ME 04105RIA
CRD#: 108050
Falmouth, ME
Current
January 18, 2019 - Present
VALMARK SECURITIES, INC.
Office #1: 366 Us Route One, Falmouth, ME 04105BD
CRD#: 31243
Falmouth, ME
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VA
VALMARK ADVISERS, INC.
VALMARK ADVISERS INC | VALMARK ADVISERS, INC.
CRD#: 108050 / SEC#: 801-55564
RIA
Registered Investment Advisory firm - (5/29/1998 Approved)Wyoming
Registered Investment Advisory firm - (8/11/2017 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
IAR
Arizona(5/3/2023)
RR
Arizona(4/29/2024)
IAR
Colorado(5/28/2024)
IAR
Connecticut(6/28/2022)
IAR
Florida(7/5/2022)
RR
Florida(4/29/2024)
RR
Maine(6/17/2019)
IAR
Maine(7/27/2020)
IAR
Massachusetts(1/13/2025)
RR
New Hampshire(10/1/2020)
IAR
New Hampshire(1/4/2021)
IAR
New Jersey(12/22/2022)
IAR
New York(2/22/2023)
RR
Tennessee(4/29/2024)
IAR
Texas(8/14/2023)
IAR
Utah(2/10/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VA
VALMARK ADVISERS, INC.
VALMARK ADVISERS INC | VALMARK ADVISERS, INC.
CRD#: 108050 / SEC#: 801-55564
RIA
Registered Investment Advisory firm - (5/29/1998 Approved)Wyoming
Registered Investment Advisory firm - (8/11/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
130 Springside Drive Suite 300, Akron, OH 44333
Mailing Address
Phone number
(800) 765-5201
Established
Firm type
Fiscal year end
# of Employees
275
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 19,096 |
| AUM (Assets Under Management) | $ 8,379,181,235 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
VALMARK ADVISERS, INC.
CRD#: 108050Falmouth, ME 04105TRUST BUT VERIFY
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