Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nathan? Claim Your ProfileNathan James Smith is a financial advisor registered with Wealthpenn.comllc. Nathan has been in the financial services industry for over 16 years. Nathan's registration is active in both broker-dealer and investment advisor capacities in various states. Nathan is a highly experienced advisor and holds a variety of professional licenses and designations. Nathan specializes in working with individuals, businesses, investment companies, charitable organizations, insurance companies, pension and profit-sharing plans, and banking or thrift institutions. Nathan can provide a range of financial advisory services, including financial planning, asset allocation advice, portfolio management, pension consulting, and educational seminars.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NC
04/23/2020 - Present
Morgan Stanley (Fayetteville NC)
NC
03/06/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (FAYETTEVILLE NC)
BOTH
Issued 3/20/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/5/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/12/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 3/5/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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