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ND

Nathalie J. Duarte

ASCENSUS INVESTMENT ADVISORS
Brownsburg, IN
Some features on this profile are disabled
CRD#: 7208798
ND

Professional summary

Nathalie Johanna Duarte, who also goes by Nathalie Jimenez, Nathalie J Paz Soldan, Nathalie Johanna Paz Soldan, Nathalie Paz Soldan, Nathalie J Paz Soldan Jimenez, Nathalie Johanna Paz Soldan Jimenez, Nathalie Paz Soldan Jimenez, is a registered financial advisor currently at ASCENSUS INVESTMENT ADVISORS, LLC located in Brownsburg, Indiana and ASCENSUS BROKER DEALER SERVICES, LLC located in Dresher, Pennsylvania.

Nathalie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Nathalie has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Nathalie Jimenez | Nathalie J Paz Soldan | Nathalie Johanna Paz Soldan | Nathalie Paz Soldan | Nathalie J Paz Soldan Jimenez | Nathalie Johanna Paz Soldan Jimenez | Nathalie Paz Soldan Jimenez

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) - RIA

Click below to view Nathalie Johanna Duarte'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®
None

Experience

Current

May 22, 2025 - Present

ASCENSUS INVESTMENT ADVISORS, LLC

RIA
CRD#: 120632
Brownsburg, IN
Current

April 30, 2025 - Present

ASCENSUS BROKER DEALER SERVICES, LLC

Office #1: 200 Dryden Road, Dresher, PA 19025
BD
CRD#: 36478
Dresher, PA
Past

October 20, 2023 - January 3, 2025

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
Zionsville, IN
Past

October 20, 2023 - January 3, 2025

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Zionsville, IN
Past

December 21, 2022 - September 18, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
INDIANAPOLIS, IN
Past

December 21, 2022 - September 18, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
INDIANAPOLIS, IN
Past

May 29, 2020 - November 15, 2022

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
ZIONSVILLE, IN
Past

February 14, 2020 - November 15, 2022

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
ZIONSVILLE, IN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AI
ASCENSUS INVESTMENT ADVISORS, LLC
ASCENSUS INVESTMENT ADVISORS, LLC | UPROMISE INVESTMENT ADVISORS, LLC

CRD#: 120632 / SEC#: 801-61492

RIA
Registered Investment Advisory firm - (9/27/2002 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
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
Indiana
(4/30/2025)
IAR
Massachusetts
(5/22/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/28/2020
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/14/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/10/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

AI
ASCENSUS INVESTMENT ADVISORS, LLC
ASCENSUS INVESTMENT ADVISORS, LLC | UPROMISE INVESTMENT ADVISORS, LLC

CRD#: 120632 / SEC#: 801-61492

RIA
Registered Investment Advisory firm - (9/27/2002 Approved)
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Contact information

Main Address
95 Wells Avenue Suite 160, Newton, MA 02459
Mailing Address
Phone number
(617) 454-6400
Established
Firm type
Fiscal year end
# of Employees
47

SEC notice filing (48 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 (10/20/2025)

Regulatory assets under management

Total Number of Accounts43
AUM (Assets Under Management)$ 11,649,896,048

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
07/29/2024
Cover Page
Report
01/30/2024
Cover Page
Report
01/26/2023
Cover Page
Report

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

ASCENSUS INVESTMENT ADVISORS, LLC

CRD#: 120632Brownsburg, IN

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