Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Natalie? Claim Your ProfileNatalie Renee Vaswani is a financial advisor with over 30 years of experience in the financial services industry. Natalie has held positions at several firms, including Credit Suisse Securities (USA) LLC, UBS Financial Services Inc., and Harris Investor Services, Inc. Currently, Natalie is a registered representative with Wells Fargo Clearing Services, LLC, where she provides financial advice and investment management services. Natalie has a wide range of experience in the financial services industry and holds several licenses and certifications, including Series 6, 7, 9, 10, 63, and 66.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
IL
05/25/2018 - Present
Wells Fargo Clearing Services, LLC (OAK BROOK IL)
IL
01/30/2017 - 05/31/2018
UBS FINANCIAL SERVICES INC. (OAKBROOK IL)
IL
10/24/2008 - 05/10/2016
CREDIT SUISSE SECURITIES (USA) LLC (CHICAGO IL)
IL
02/04/2008 - 09/11/2008
HARRIS INVESTOR SERVICES, INC. (BUFFALO GROVE IL)
IL
06/25/2002 - 02/05/2008
NATIONAL PLANNING CORPORATION (NORTHBROOK IL)
OH
02/01/2000 - 07/27/2000
NATIONWIDE INVESTMENT SERVICES CORPORATION (COLUMBUS OH)
OH
01/04/1999 - 01/22/1999
FIRST OF AMERICA BROKERAGE SERVICE, INC. (CLEVELAND OH)
OH
07/14/1995 - 01/22/1999
NATCITY INVESTMENTS, INC. (CLEVELAND OH)
NY
08/03/1998 - 01/04/1999
LIBERTY SECURITIES CORPORATION (PURCHASE NY)
NA
05/03/1996 - 08/03/1998
INDEPENDENT FINANCIAL SECURITIES, INC.
IN
05/23/1990 - 07/14/1995
RAFFENSPERGER, HUGHES & CO., INC. (INDIANAPOLIS IN)
SC
01/26/1988 - 05/01/1990
LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)
BOTH
Issued 05/28/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/22/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/21/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/05/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/19/1994
Series 7 - General Securities Representative Examination
BC
Issued 01/25/1988
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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