Natalie B. Acosta
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 B Acosta, who also goes by Natalie B Acosta, Natalie Brianne Acosta, Natalie Acosta, was a registered financial professional .
Natalie is a previously registered financial professional and started their career in finance in 2017. Natalie had worked at 5 firms and has passed the Series 66, 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 30, 2020 - December 1, 2022
AUDENT GLOBAL ASSET MANAGEMENT, LLC
November 12, 2019 - February 25, 2020
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
November 8, 2019 - February 25, 2020
FIRST REPUBLIC SECURITIES COMPANY, LLC
January 31, 2018 - November 13, 2019
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 30, 2017 - November 13, 2019
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 1, 2017 - July 18, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
AUDENT GLOBAL ASSET MANAGEMENT, LLC
CRD#: 308166 / SEC#: 801-118707
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
AUDENT GLOBAL ASSET MANAGEMENT, LLC
CRD#: 308166 / SEC#: 801-118707
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 398 |
| AUM (Assets Under Management) | $ 433,680,906 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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