Nathaniel E. Rumpf
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.
Nathaniel Eric Rumpf, who also goes by Nate Rumpf, Nathan Rumpf, was a registered financial professional .
Nathaniel is a previously registered financial professional and started their career in finance in 2022. Nathaniel had worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2022 - February 27, 2023
APEX FINTECH BROKERAGE SERVICES
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: 5/17/2022
General Securities Representative ExaminationCurrent Firm
APEX FINTECH BROKERAGE SERVICES
CRD#: 305818 / SEC#: , 8-70414
Contact information
FINRA licenses (53 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.
