Nicholas A. Natale

CNR SECURITIES

NEW YORK, NY 10022

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CRD#: 6853203

Professional summary

Nicholas Anthony Natale is a registered financial professional currently at CNR SECURITIES, LLC located in New York, New York.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2017. Nicholas has worked at 3 firms and has passed the Series 63, Series 57TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Nicholas Anthony Natale'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

June 3, 2022 - Present

CNR SECURITIES, LLC

Office #1: 400 Park Avenue 6th Floor, New York, NY 10022

CRD#: 18466

NEW YORK, NY

Past

July 5, 2018 - April 28, 2022

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

HOLBROOK, NY

Past

December 13, 2017 - April 26, 2018

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(6/3/2022)

Nevada
(6/3/2022)

New York
(6/3/2022)

Exams

State Security Law Exam

Series 63

Date: 11/16/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 9/30/2019

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/13/2017

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CNR SECURITIES, LLC

CNR SECURITIES, LLC | ROCHDALE INVESTMENT MANAGEMENT INC. | RIM SECURITIES, LLC | RIM SECURITIES LLC

CRD#: 18466 / SEC#: , 8-36759

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

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Contact information

Main Address

400 Park Avenue 3rd Floor, New York, NY 10022

Mailing Address

400 Park Avenue 3rd Floor, New York, NY 10022

Phone number

(212) 702-3500

Established

Delaware since 10/11/2001

Firm type

Limited Liability Company

Fiscal year end

October

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CITY NATIONAL ROCHDALE HOLDINGS, LLC	MANAGING MEMBER / 100% OWNER
BANUELOS, ALMA DELIA	BOARD DIRECTOR	4530705
BARTON, RICHARD JOSEPH	CHIEF COMPLIANCE OFFICER	2040869
CEPLER, MITCHELL DANIEL	CFO AND FINOP	4554270
DANIEL, JOBY SWANKUTTY	BOARD DIRECTOR	6616727
GIAQUINTO, GREGG	PRESIDENT, CEO, & BOARD DIRECTOR	3182583
O'KEEFFE, IVOR PATRICK	BOARD DIRECTOR	2397120
RILEY, SHAWN DAVID	BOARD DIRECTOR	8157413

Disclosures

Regulatory Event	3
Arbitration	1

Red Flags

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Nicholas A. Natale

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicholas Anthony Natale's CRS (Customer Relationship Summary).

Certified licenses

Experience

CNR SECURITIES, LLC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/16/2020

Series 57TO

Date: 9/30/2019

SIE

Date: 10/1/2018

Series 7

Date: 12/13/2017

FINRA

Current Firm

CNR SECURITIES, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CNR SECURITIES, LLC

TRUST BUT VERIFY

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