Nathaniel Birkholz
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.
Nathaniel Birkholz, who also goes by Nate Birkholz, was a registered financial professional .
Nathaniel is a previously registered financial professional and started their career in finance in 2016. Nathaniel had worked at 3 firms and has passed the Series 63, Series 65, Series 66, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2022 - July 4, 2026
DEW WEALTH MANAGEMENT
August 3, 2016 - December 5, 2016
DAI WEALTH, LLC
May 17, 2016 - December 2, 2016
CONCORDE INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
DEW WEALTH MANAGEMENT
CRD#: 114148 / SEC#: 801-108014
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
DEW WEALTH MANAGEMENT
CRD#: 114148 / SEC#: 801-108014
Contact information
SEC notice filing (23 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 596 |
| AUM (Assets Under Management) | $ 464,654,933 |
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.
