Natalie C. Cook
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 Converse Cook, who also goes by Natalie A Converse, Natalie Converse, was a registered financial professional .
Natalie is a previously registered financial professional and started their career in finance in 2020. Natalie had worked at 3 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2022 - May 22, 2025
SECFI ADVISORY LIMITED
April 11, 2022 - April 2, 2026
SECFI SECURITIES, LLC
September 4, 2020 - September 23, 2021
ELLEVEST
Primary Firm SEC Registration
SECFI ADVISORY LIMITED
CRD#: 306961 / SEC#: 801-126017
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
Series 7TO
Date: 4/11/2022
General Securities Representative ExaminationCurrent Firm
SECFI ADVISORY LIMITED
CRD#: 306961 / SEC#: 801-126017
Contact information
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 88 |
| AUM (Assets Under Management) | $ 174,020,811 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 6/2/2022 |
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.
