Nathaniel S. Fockler
Professional summary
Nathaniel Steven Fockler, who also goes by Nate Fockler, is a registered financial advisor currently at W.A. SMITH FINANCIAL GROUP located in Sheffield Village, Ohio.
Nathaniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Nathaniel has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Nathaniel Steven Fockler's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 23, 2021 - Present
W.A. SMITH FINANCIAL GROUP
Office #1: 5070 Waterford Drive, Sheffield Village, OH 44035June 9, 2017 - February 17, 2021
UBS FINANCIAL SERVICES INC.
June 6, 2017 - February 17, 2021
UBS FINANCIAL SERVICES INC.
October 12, 2015 - May 9, 2017
CITIZENS SECURITIES, INC.
Primary Firm SEC Registration
W.A. SMITH FINANCIAL GROUP
CRD#: 146608 / SEC#: 801-110042
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(9/23/2021)
Exams
Series 7TO
Date: 12/22/2022
General Securities Representative ExaminationCurrent Firm
W.A. SMITH FINANCIAL GROUP
CRD#: 146608 / SEC#: 801-110042
Contact information
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,582 |
| AUM (Assets Under Management) | $ 962,640,394 |
Red Flags
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Company Information
W.A. SMITH FINANCIAL GROUP
CRD#: 146608Sheffield Village, OH 44035TRUST BUT VERIFY
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