NP
Nathaniel V. Piauwasdy
SECFI SECURITIES
New York, NY 10004
Some features on this profile are disabled
CRD#: 7123470
NP
Professional summary
Nathaniel Vieje Piauwasdy is a registered financial professional currently at SECFI SECURITIES, LLC located in New York, New York.
Nathaniel is registered as a RR (Registered Representative) and started their career in finance in 2022. Nathaniel has worked at 2 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 24 exams.
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.
Montlake Ventures GP, 920 Taylor Street Apt. 10, CA 94108 Investment Related, Nature of the Business: Owner of the GP which was Created as an Investment Vehicle. I will be Determining and Sourcing Investments, Start Date: 07/08/2019, Title: General Partner, Hours: 0-1, Occur During Business Hours: No
CRS (Client Relationship Summary) - BD
Click below to view Nathaniel Vieje Piauwasdy's 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®
NoneExperience
Current
January 13, 2020 - Present
SECFI SECURITIES, LLC
Office #1: 25 Broadway 10th Floor, New York, NY 10004BD
CRD#: 302112
New York, NY
Past
October 4, 2022 - September 3, 2024
SECFI ADVISORY LIMITED
RIA
CRD#: 306961
SAN FRANCISCO, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Arizona(4/7/2020)
RR
California(1/21/2020)
RR
Colorado(11/12/2020)
RR
Connecticut(10/22/2020)
RR
District of Columbia(3/31/2020)
RR
Florida(3/18/2020)
RR
Georgia(2/17/2020)
RR
Hawaii(1/13/2021)
RR
Illinois(5/15/2020)
RR
Indiana(11/4/2024)
RR
Iowa(2/5/2021)
RR
Kansas(2/5/2021)
RR
Maryland(3/26/2020)
RR
Massachusetts(4/28/2020)
RR
Michigan(12/11/2020)
RR
Minnesota(11/22/2021)
RR
Mississippi(2/5/2021)
RR
Missouri(11/19/2020)
RR
Montana(9/2/2020)
RR
Nevada(3/4/2020)
RR
New Hampshire(1/5/2021)
RR
New Jersey(3/30/2020)
RR
New Mexico(2/5/2021)
RR
New York(3/2/2020)
RR
North Carolina(11/10/2020)
RR
Ohio(11/18/2020)
RR
Oregon(2/21/2020)
RR
Pennsylvania(2/8/2021)
RR
Puerto Rico(2/2/2021)
RR
South Carolina(2/5/2021)
RR
Tennessee(1/27/2021)
RR
Texas(3/12/2020)
RR
Utah(2/19/2020)
RR
Vermont(2/8/2021)
RR
Virginia(3/4/2020)
RR
Washington(2/21/2020)
RR
Wisconsin(3/6/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/24/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
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)
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.
