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Natalie S. Rodgers

SIGNATURE ESTATE SECURITIES
Newport Beach, CA 92660
Some features on this profile are disabled
CRD#: 6737018
NR

Professional summary

Natalie Shereen Rodgers, who also goes by Natalie Shereen Johnson, Natalie Rodgers, is a registered financial professional currently at SIGNATURE ESTATE SECURITIES, LLC located in Newport Beach, California.

Natalie is registered as a RR (Registered Representative) and started their career in finance in 2017. Natalie has worked at 3 firms and has passed the SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Natalie Shereen Johnson | Natalie Rodgers

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Natalie Shereen Rodgers's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 28, 2023 - Present

SIGNATURE ESTATE SECURITIES, LLC

Office #1: 610 Newport Center Drive Suite 300, Newport Beach, CA 92660
BD
CRD#: 18923
Newport Beach, CA
Past

November 2, 2018 - July 27, 2023

OSAIC WEALTH, INC.

BD
CRD#: 23131
NEWPORT BEACH, CA
Past

March 10, 2017 - November 2, 2018

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
LOS ANGELES, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/2/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SE
SIGNATURE ESTATE SECURITIES, LLC
SIGNATURE ESTATE SECURITIES, INC. | TRANSAM SECURITIES, INC. | SIGNATURE ESTATE SECURITIES, LLC

CRD#: 18923 / SEC#: , 8-37065

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
2121 Avenue Of Stars Suite 1600, Los Angeles, CA 90067
Mailing Address
2121 Avenue Of Stars Suite 1600, Los Angeles, CA 90067
Phone number
(310) 712-2323
Established
Delaware since 02/14/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SEIA HOLDINGS LLC100% DIRECT OWNER SIGNATURE ESTATE SECURITIES LLC
MATRISIAN, MATTHEW JAMESPRESIDENT2507829
ROSEN, ERIC ZACHARYCHIEF COMPLIANCE OFFICER6181478
RUSSELL, SARAH DETLINGFINOP6727189

Disclosures

Regulatory Event2

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.

Company Information

SIGNATURE ESTATE SECURITIES, LLC

CRD#: 18923Newport Beach, CA 92660

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