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Nathaniel Christopher Dial

SG Americas Securities, LLC

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About Nathaniel Christopher Dial

Nathaniel Christopher Dial is a financial professional with over 7 years of experience in the industry. Dial is currently registered with SG Americas Securities, LLC and has previously held positions at CREDIT SUISSE SECURITIES (USA) LLC and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Dial holds a variety of licenses and certifications, including Series 3, 7, 24, 57TO, and SIE, as well as the Uniform Securities Agent State Law Examination (Series 63). Dial is registered to provide investment advice in all 50 states, as well as Puerto Rico.

Firm Information

Nathaniel Dial is currently registered with SG Americas Securities, LLC. SG Americas Securities, LLC is a Limited Liability Company formed on August 8, 2003. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico. They have a history of regulatory events, including 109 disclosures, as well as a criminal disclosure and an arbitration disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

557

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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Nathaniel Dial’s Registration & Firm History

NY

12/03/2018 - Present

SG Americas Securities, LLC (NEW YORK NY)

NY

04/03/2017 - 12/06/2018

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

NY

12/09/2014 - 03/30/2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 03/23/2015

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/08/2018

Series 24 - General Securities Principal Examination

BC

Issued 12/20/2021

Series 57TO - Securities Trader Exam

BC

Issued 01/02/2019

Series 3 - National Commodity Futures Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/09/2014

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX PEARL, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Nathaniel Christopher Dial.
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