NR
Nathan B. Rockwell
EVERSPIRE
Reno, NV
Some features on this profile are disabled
CRD#: 7471905
NR
Professional summary
Nathan Brant Rockwell, who also goes by Nate Rockwell, is a registered financial advisor currently at EVERSPIRE located in Reno, Nevada and MHL INVESTMENTS located in Midvale, Utah.
Nathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Nathan has worked at 2 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nate Rockwell
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.
1) Carefree Professional Practice Resources, LLC; not investment-related; Reno, Nevada; professional services and CPA practice; Tax and Valuation Principal; since 2012; 160 hours / month, mostly during securities trading hours; tax and financial reporting as well as mergers and acquisitions within the dental industry. 2) Rockwell Financial, PLLC; not investment-related; Reno, Nevada; professional services and CPA practice; Owner; since 2011; 16 hours / month, during and after securities trading hours; tax, dental office consulting, and valuation of dental and other business types. 3) TomiPlan - investment related; Midvale, UT 84047; receives a referral fee for referring business to TomiPlan (Financial Planning Company). No securities or financial products are offered at TomiPlan; 08/2023; 10 hours/month.
CRS (Client Relationship Summary) - RIA
Click below to view Nathan Brant Rockwell'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
November 23, 2021 - Present
EVERSPIRE
RIA
CRD#: 222515
Reno, NV
Current
December 24, 2024 - Present
MHL INVESTMENTS
Office #1: Everspire Plaza 6900 S. 900 E., Suite 200, Midvale, UT 84047Office #2: Everspire Plaza 6900 S. 900 E., Suite 200, Midvale, UT 84047BD
CRD#: 2535
Midvale, UT
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".
EV
EVERSPIRE
AEGIS WEALTH GROUP, LLC | WAHL, STEVEN P | SYNCHRONY WEALTH MANAGEMENT | EVERSPIRE WRAP FEE PROGRAM | EVERSPIRE SMA | EVERSPIRE PORTFOLIOS | EVERSPIRE IIP | EVERSPIRE DIRECT | EVERSPIRE 401K | EVERSPIRE | ESSENTIALSSIX PORTFOLIOS | E6 PORTFOLIOS
CRD#: 222515 / SEC#: 801-116983
RIA
Registered Investment Advisory firm - (7/17/2019 Approved)Arizona
Registered Investment Advisory firm - (8/7/2019 Terminated)California
Registered Investment Advisory firm - (9/6/2019 Terminated)Idaho
Registered Investment Advisory firm - (8/7/2019 Terminated)Texas
Registered Investment Advisory firm - (8/7/2019 Terminated)Utah
Registered Investment Advisory firm - (8/7/2019 Terminated)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
Arizona(7/18/2025)
IAR
Nevada(6/22/2023)
RR
Nevada(1/20/2025)
RR
Oregon(9/22/2025)
IAR
Utah(11/23/2021)
RR
Utah(1/20/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/23/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
EV
EVERSPIRE
AEGIS WEALTH GROUP, LLC | WAHL, STEVEN P | SYNCHRONY WEALTH MANAGEMENT | EVERSPIRE WRAP FEE PROGRAM | EVERSPIRE SMA | EVERSPIRE PORTFOLIOS | EVERSPIRE IIP | EVERSPIRE DIRECT | EVERSPIRE 401K | EVERSPIRE | ESSENTIALSSIX PORTFOLIOS | E6 PORTFOLIOS
CRD#: 222515 / SEC#: 801-116983
RIA
Registered Investment Advisory firm - (7/17/2019 Approved)Arizona
Registered Investment Advisory firm - (8/7/2019 Terminated)California
Registered Investment Advisory firm - (9/6/2019 Terminated)Idaho
Registered Investment Advisory firm - (8/7/2019 Terminated)Texas
Registered Investment Advisory firm - (8/7/2019 Terminated)Utah
Registered Investment Advisory firm - (8/7/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6900 South 900 East Suite 200, Midvale, UT 84047
Mailing Address
Phone number
(801) 545-8706
Established
Firm type
Fiscal year end
# of Employees
19
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,846 |
| AUM (Assets Under Management) | $ 181,142,726 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
