Natalie M. Capistran
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.
Natalie Marie Capistran was a registered financial professional .
Natalie is a previously registered financial professional and started their career in finance in 2015. Natalie had worked at 2 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2015 - December 14, 2020
ACORNS
July 30, 2015 - August 21, 2020
ACORNS SECURITIES, LLC
Primary Firm SEC Registration
ACORNS
CRD#: 165926 / SEC#: 801-78602
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
Series 7TO
Date: 12/22/2022
General Securities Representative ExaminationCurrent Firm
ACORNS
CRD#: 165926 / SEC#: 801-78602
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,813,137 |
| AUM (Assets Under Management) | $ 10,380,859,924 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 11/28/2023 | ||
| 04/24/2023 |
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.
