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Nathan C. Yeo

TRIPLE A PARTNERS LLC
Venice, CA 90291
Some features on this profile are disabled
CRD#: 7502805
NY

Professional summary

Nathan Charles Yeo is a registered financial professional currently at TRIPLE A PARTNERS LLC located in Venice, California.

Nathan is registered as a RR (Registered Representative) and started their career in finance in 2023. Nathan has worked at 2 firms and has passed the Series 63, SIE and Series 79TO exams.

top-8-questions

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nathan Charles Yeo'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 15, 2024 - Present

TRIPLE A PARTNERS LLC

Office #1: 2916 1/2 Grand Canal, Venice, CA 90291
BD
CRD#: 142790
Venice, CA
Past

March 31, 2023 - April 12, 2024

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
NEW YORK, NY

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
California
(5/15/2024)
RR
New York
(5/15/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/15/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/31/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79TO
Date: 3/10/2023
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TA
TRIPLE A PARTNERS LLC
ARIMA ADVISORS LLC | TRIPLE A PARTNERS LLC

CRD#: 142790 / SEC#: , 8-67485

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
2916 1/2 Grand Canal, Venice, CA 90291
Mailing Address
2916 1/2 Grand Canal, Venice, CA 90291
Phone number
(310) 773-8127
Established
Delaware since 06/29/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TRIPLE A PARTNERS, INC.OWNER
MORGAN, WILLIAM ARTHURFINOP & GENERAL SECURITIES PRINCIPAL852925
WIBBELSMAN, WARREN MAHLONCEO, CCO, AMLCO2375338

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

TRIPLE A PARTNERS LLC

CRD#: 142790Venice, CA 90291

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