Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nathaniel? Claim Your ProfileNathaniel Foote is a registered investment advisor representative with Wells Fargo Clearing Services, LLC. Nathaniel has been in the financial services industry since 1986. Nathaniel has passed the Series 7, Series 9, Series 10, Series 63, and Series 65 exams. Nathaniel is registered to provide investment advice in California, Colorado, Connecticut, District of Columbia, Florida, Idaho, Louisiana, Massachusetts, Minnesota, New Hampshire, New Jersey, New York, South Carolina, Virginia and Wyoming. Nathaniel previously worked at Morgan Stanley Smith Barney LLC, Morgan Stanley Private Bank, N.A., and UBS Financial Services Inc. Nathaniel is also an investment committee member for the Country Club of Fairfield Sulik Assistance Fund for Employees.
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.
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2
CT
07/08/2019 - Present
Wells Fargo Clearing Services, LLC (WESTPORT CT)
CT
06/01/2009 - 07/05/2019
MORGAN STANLEY (NEW HAVEN CT)
CT
02/27/2009 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (NEW HAVEN CT)
CT
03/19/1986 - 03/16/2009
UBS FINANCIAL SERVICES INC. (NEW HAVEN CT)
IA
Issued 10/12/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/27/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/01/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/14/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/15/1986
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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