NG
Nathan A. Garofalo
HUNTER ASSOCIATES LLC
Salem, OH 44460
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CRD#: 7567154
NG
Professional summary
Nathan Andrew Garofalo, who also goes by Nathan Andrew Garofolo, is a registered financial advisor currently at HUNTER ASSOCIATES LLC located in Salem, Ohio.
Nathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Nathan has worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nathan Andrew Garofolo
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. Mary's Pizza; non-investment related; 301 N Beaver St. Lisbon, OH 44432; Restaurant; Line cook; 05/2014; 20-24 hours, all on Saturdays; 0 hours during trading hours; I put toppings on pizza. I put toppings on sandwiches. 2. Independent Insurance Agent; investment related; Branch Office-120 W. 2nd Street PO Box 769 Salem, Ohio 44460; sale of insurance products; insurance agent; May 2023; 5-10 hours/month all during trading hours; sale of non-variable life, health, annuity and/or disability income insurance products
CRS (Client Relationship Summary) - RIA
Click below to view Nathan Andrew Garofalo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nathan Andrew Garofalo'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
December 13, 2022 - Present
HUNTER ASSOCIATES LLC
Office #1: 120 W. Second Street, Salem, OH 44460RIA
BD
CRD#: 30177
Salem, OH
Current
August 5, 2022 - Present
HUNTER ASSOCIATES LLC
Office #1: 120 W. Second Street, Salem, OH 44460RIA
BD
CRD#: 30177
Salem, OH
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".
HUNTER ASSOCIATES LLC
HUNTER ASSOCIATES INVESTMENT MANAGEMENT LLC | HUNTER ASSOCIATES, INC. | HUNTER ASSOCIATES LLC
CRD#: 30177 / SEC#: 801-42007, 8-44779
RIA
Registered Investment Advisory firm - SEC (7/27/1992 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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
Ohio(10/7/2022)
IAR
Ohio(12/13/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/5/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HUNTER ASSOCIATES LLC
HUNTER ASSOCIATES INVESTMENT MANAGEMENT LLC | HUNTER ASSOCIATES, INC. | HUNTER ASSOCIATES LLC
CRD#: 30177 / SEC#: 801-42007, 8-44779
RIA
Registered Investment Advisory firm - SEC (7/27/1992 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
436 Seventh Avenue Koppers Building 27th Floor, Pittsburgh, PA, 15219-1818
Mailing Address
436 Seventh Avenue 27th Floor, Pittsburgh, PA, 15219
Phone number
(412) 471-4191
Established
Delaware since 01/01/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
14
SEC notice filing (31 States and Territories)
FINRA licenses (39 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,334 |
| AUM (Assets Under Management) | $ 1,201,488,433 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2025 | ||
| 09/30/2024 | ||
| 07/27/2023 | ||
| 12/21/2022 |
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
HUNTER ASSOCIATES LLC
CRD#: 30177Salem, OH 44460TRUST BUT VERIFY
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