Nathan B. Smith
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 Benjamin Smith was a registered financial professional .
Nathan is a previously registered financial professional and started their career in finance in 2014. Nathan had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2021 - June 25, 2021
ASSETMARK BROKERAGE, LLC
January 5, 2021 - June 25, 2021
ASSETMARK, INC.
September 20, 2018 - August 31, 2020
NATIONWIDE INVESTMENT ADVISORS, LLC
September 20, 2018 - August 31, 2020
NATIONWIDE INVESTMENT SERVICES CORPORATION
June 6, 2016 - December 31, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 10, 2014 - December 31, 2017
TRANSAMERICA FINANCIAL ADVISORS, 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
ASSETMARK BROKERAGE, LLC
CRD#: 169804 / SEC#: , 8-69391
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
