NW
Nathan A. Wood
UP FINANCIAL USA
CALGARY, ALBERTA, T2V 4S7
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CRD#: 7729925
NW
Professional summary
Nathan Arthur Wood is a registered financial advisor currently at UP FINANCIAL USA INC. .
Nathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Nathan has worked at 1 firm .
Question & Answer
Are you a "fiduciary"?
Yes
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.
Up Investment Management of Aligned Capital Partners Inc. (Start Date: 1/2022 to Present) & Up Financial USA (Start Date: 12/2012 to Present): are Canadian-based financial and investment - services firm serving clients who are not US nationals and do not reside in the US. Investment Advisors and registered representatives. 90% time spend during trading hours. Duties include: Director, Registered Representative, Investment Advisor, Insurance Agent & Financial Planner 396 11th Ave SW, Suite 1020 Calgary, Alberta Canada T2V 4S7.
CRS (Client Relationship Summary) - RIA
Click below to view Nathan Arthur Wood'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
June 27, 2023 - Present
UP FINANCIAL USA INC.
Office #1: 396 11th Ave Sw Suite 1020, Calgary, Alberta, T2V 4S7RIA
CRD#: 326602
CALGARY, ALBERTA,
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".
UF
UP FINANCIAL USA INC.
UP FINANCIAL | UP FINANCIAL USA INC. | UP FINANCIAL INC.
CRD#: 326602 / SEC#: 801-128140
RIA
Registered Investment Advisory firm - (6/20/2023 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.Highlighted states indicate IAR registrations
IAR
Texas(6/27/2023)
Exams
Current Firm
UF
UP FINANCIAL USA INC.
UP FINANCIAL | UP FINANCIAL USA INC. | UP FINANCIAL INC.
CRD#: 326602 / SEC#: 801-128140
RIA
Registered Investment Advisory firm - (6/20/2023 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
396 11th Ave Sw Suite 1020, Calgary, Alberta, T2R-0C5
Mailing Address
Phone number
(587) 316-4070
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4 |
| AUM (Assets Under Management) | $ 2,004,295 |
Red Flags
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Company Information
UP FINANCIAL USA INC.
CRD#: 326602Calgary, Alberta, T2V 4S7TRUST BUT VERIFY
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