Nathan E. O'farrell
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 Evans O'farrell, CFP®, who also goes by Nathan Evans Ofarrell, was a registered financial professional .
Nathan is a previously registered financial professional and started their career in finance in 2017. Nathan had worked at 4 firms and has passed the Series 63, Series 65, Series 3, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2022 - March 14, 2024
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC
January 2, 2019 - March 14, 2024
PIMCO INVESTMENTS LLC
August 31, 2017 - December 31, 2018
FORESIDE FUND SERVICES, LLC
July 28, 2017 - April 29, 2022
GURTIN MUNICIPAL BOND MANAGEMENT
Primary Firm SEC Registration
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC
CRD#: 104559 / SEC#: 801-48187
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: 8/2/2019
General Securities Representative ExaminationCurrent Firm
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC
CRD#: 104559 / SEC#: 801-48187
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,793 |
| AUM (Assets Under Management) | $ 2,990,162,012,917 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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