Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nathaniel? Claim Your ProfileNathaniel Carlon is a financial advisor with over 18 years of experience in the industry. Nathaniel has been registered with LPL Financial LLC since April 2023, and previously worked with Stifel, Nicolaus & Company, Incorporated. Nathaniel is licensed to offer investment advisory services in California and Texas. Nathaniel holds Series 6, 7, 31, 63, 65, and 66 securities licenses, as well as the SIE exam.
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.
Consulting and other non-discretionary advisory services
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.
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AZ
04/25/2023 - Present
LPL Financial LLC (SCOTTSDALE AZ)
AZ
12/14/2015 - 05/05/2023
STIFEL, NICOLAUS & COMPANY, INCORPORATED (SCOTTSDALE AZ)
AZ
06/02/2011 - 12/15/2015
AXA ADVISORS, LLC (SCOTTSDALE AZ)
CA
01/11/2010 - 06/01/2011
CHASE INVESTMENT SERVICES CORP. (TUSTIN CA)
CA
12/13/2006 - 12/22/2009
AMERICAN FUNDS DISTRIBUTORS, INC. (IRVINE CA)
AZ
11/11/2005 - 10/24/2006
CHASE INVESTMENT SERVICES CORP. (TUCSON AZ)
AL
02/26/2004 - 11/16/2005
COMPASS BROKERAGE, INC. (BIRMINGHAM AL)
IA
Issued 12/30/2013
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 08/30/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/03/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/23/2018
Series 31 - Futures Managed Funds Examination
BC
Issued 08/29/2005
Series 7 - General Securities Representative Examination
BC
Issued 02/25/2004
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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