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NC

Natalie C. Cook

SECFI SECURITIES
New York, NY 10004
Some features on this profile are disabled
CRD#: 6772477
NC

Professional summary

Natalie Converse Cook, who also goes by Natalie A Converse, Natalie Converse, is a registered financial professional currently at SECFI SECURITIES, LLC located in New York, New York.

Natalie is registered as a RR (Registered Representative) and started their career in finance in 2020. Natalie has worked at 3 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Natalie A Converse | Natalie Converse

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 Converse Cook'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

April 11, 2022 - Present

SECFI SECURITIES, LLC

Office #1: 25 Broadway 10th Floor, New York, NY 10004
BD
CRD#: 302112
New York, NY
Past

October 4, 2022 - May 22, 2025

SECFI ADVISORY LIMITED

RIA
CRD#: 306961
Charleston, SC
Past

September 4, 2020 - September 23, 2021

ELLEVEST

RIA
CRD#: 175476
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: 8/9/2022
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 9/4/2020
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/11/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/1/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SECFI SECURITIES, LLC
SECFI SECURITIES, LLC

CRD#: 302112 / SEC#: , 8-70457

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
25 Broadway 10th Floor, New York, NY 10004
Mailing Address
25 Broadway 10th Floor, New York, NY 10004
Phone number
(707) 297-9210
Established
Delaware since 10/12/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (38 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#
SECFI, INC.PARENT
LENART, BRIAN DOUGLASCCO, AMLCO, FINOP, PFO/POO736107
PIAUWASDY, NATHANIEL VIEJECEO, EXECUTIVE REPRESENTATIVE7123470

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

SECFI SECURITIES, LLC

CRD#: 302112New York, NY 10004

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