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Nathan Buckler

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CRD#: 6742554
NB

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.

Nathan Buckler was a registered financial professional .

Nathan is a previously registered financial professional and started their career in finance in 2017. Nathan had worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 15, 2022 - April 21, 2023

ADVENT CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 299740
NEW YORK, NY
Past

October 11, 2017 - September 24, 2020

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
NEW YORK, NY

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

State Security Law Exam
RR
Series 63
Date: 4/20/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/11/2017
General Securities Representative Examination

Current Firm

AC
ADVENT CAPITAL DISTRIBUTORS, LLC
ADVENT CAPITAL DISTRIBUTORS, LLC

CRD#: 299740 / SEC#: , 8-70257

BD
Terminated by SEC on 05/26/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 04/05/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ADVENT CAPITAL MANAGEMENT, LLCSOLE MEMBER113013
KRZAK, ALEXANDER JACOBPRINCIPAL OPERATIONS OFFICER6349160
MARLIN, ROSS EVANCHIEF COMPLIANCE OFFICER6931826
RIORDAN, TIFFANY ANNEFINOP & PFO6313437

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

ADVENT CAPITAL DISTRIBUTORS, LLC

CRD#: 299740

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