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Natalie Suzanne Baron

EF Legacy Securities, LLC

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About Natalie Suzanne Baron

Natalie Suzanne Baron is a financial professional with over 20 years of experience in the industry. Natalie is currently registered with EF Legacy Securities, LLC. Previously, Natalie was registered with Athene Securities, LLC, Griffin Capital Securities, LLC, VOYA Investments Distributor, LLC, Fidelity Brokerage Services LLC, MFS Fund Distributors, Inc., ING Financial Advisors, LLC, Banc One Securities Corporation and Smith Barney Inc. Natalie is licensed to sell securities in Arizona, California, Illinois, and Texas.

Firm Information

Natalie Baron is currently registered with EF Legacy Securities, LLC. EF Legacy Securities, LLC is a Limited Liability Company formed on May 5, 2015. It is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm is also registered with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

12

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Natalie Baron’s Registration & Firm History

KY

06/14/2024 - Present

EF Legacy Securities, LLC (LOUISVILLE KY)

IA

06/14/2023 - 05/30/2024

ATHENE SECURITIES, LLC (WEST DES MOINES IA)

AZ

07/29/2019 - 05/28/2024

GRIFFIN CAPITAL SECURITIES, LLC (Phoenix AZ)

AZ

03/01/2012 - 06/28/2019

VOYA INVESTMENTS DISTRIBUTOR, LLC (SCOTTSDALE AZ)

AZ

06/28/2010 - 08/03/2011

FIDELITY BROKERAGE SERVICES LLC (SCOTTSDALE AZ)

AZ

04/30/2008 - 02/19/2010

MFS FUND DISTRIBUTORS, INC. (PHOENIX AZ)

AZ

12/01/1999 - 04/27/2007

ING FINANCIAL ADVISERS, LLC (PHOENIX AZ)

IL

04/29/1999 - 11/15/1999

BANC ONE SECURITIES CORPORATION (CHICAGO IL)

NY

05/01/1997 - 04/01/1998

SMITH BARNEY INC. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 09/16/2010

Series 66 - Uniform Combined State Law Examination

IA

Issued 07/21/1997

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/14/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/30/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Natalie Suzanne Baron.
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