Nathan J. Stump

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CRD#: 6241814

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.

Nathan James Stump was a registered financial professional .

Nathan is a previously registered financial professional and started their career in finance in 2014. Nathan had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 7, 2022 - October 26, 2022

QUINT CAPITAL CORPORATION

CRD#: 26586

NEW YORK, NY

Past

January 4, 2019 - February 6, 2020

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA

CRD#: 107319

Denver, CO

Past

January 23, 2017 - July 16, 2020

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

November 12, 2015 - January 13, 2017

OSAIC WEALTH, INC.

RIA

CRD#: 23131

TROY, MI

Past

September 3, 2014 - January 13, 2017

OSAIC WEALTH, INC.

CRD#: 23131

TROY, MI

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".

QUINT CAPITAL CORPORATION

CRD#: 26586 / SEC#: 801-128990, 8-42649

RIA

Registered Investment Advisory firm - SEC (11/8/2023 Approved)

Connecticut

Registered Investment Advisory firm - SEC (11/29/2023 Terminated)

Florida

Registered Investment Advisory firm - SEC (11/22/2023 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (12/12/2023 Terminated)

New York

Registered Investment Advisory firm - SEC (11/22/2023 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (12/3/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/22/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/1/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/3/2014

General Securities Representative Examination

Current Firm

QUINT CAPITAL CORPORATION

CRD#: 26586 / SEC#: 801-128990, 8-42649

RIA

Registered Investment Advisory firm - SEC (11/8/2023 Approved)

Connecticut

Registered Investment Advisory firm - SEC (11/29/2023 Terminated)

Florida

Registered Investment Advisory firm - SEC (11/22/2023 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (12/12/2023 Terminated)

New York

Registered Investment Advisory firm - SEC (11/22/2023 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (12/3/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

230 Park Ave - 361w, New York, NY 10169

Mailing Address

230 Park Ave 3rd Floor West, New York, NY 10169

Phone number

(212) 682-5090

Established

Florida since 05/28/1989

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

SEC notice filing (7 States and Territories)

FINRA licenses (31 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A-SEPT 30 2024 (9/30/2024)

Direct owners and executive officers

Name	Position	CRD#
QCAP HOLDINGS LLC (NAME CHANGE FROM QUINT CAPITAL LLC	OWNER
ACHZET, DAVID EDWARD	CHIEF COMPLIANCE OFFICER	1209132
PETERS, ROBERT WILLIAM	FINOP	1704577
QUINT, ALEXANDER NORMAN	CEO	1012135

Regulatory assets under management

Total Number of Accounts	73
AUM (Assets Under Management)	$ 147,573,714

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Nathan J. Stump

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRANSAMERICA RETIREMENT ADVISORS, LLC

TRANSAMERICA CAPITAL, LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

Primary Firm SEC Registration

QUINT CAPITAL CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 10/22/2015

Series 63

Date: 5/1/2015

SIE

Date: 10/1/2018

Series 7

Date: 9/3/2014

Current Firm

QUINT CAPITAL CORPORATION

Contact information

SEC notice filing (7 States and Territories)

FINRA licenses (31 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

QUINT CAPITAL CORPORATION

TRUST BUT VERIFY

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