Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nathaniel? Claim Your ProfileNathaniel Whitaker is a financial advisor at Morgan Stanley. Nathaniel has been in the financial services industry since 2003. Nathaniel is registered with FINRA, the SEC and the states of Alabama, Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Montana, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Utah, Virginia, Washington, West Virginia and Wisconsin. Nathaniel also has a Series 66, Series 7 and SIE license. Nathaniel has experience at UBS Financial Services, Inc., JPMorgan Distribution Services, Inc., Fidelity Investments Institutional Services Company, Inc., Nationwide Investment Services Corporation, Foreside Fund Services, LLC and Principal Funds Distributor, Inc.
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
OH
04/14/2023 - Present
Wealthpenn.comllc (Columbus OH)
CT
10/08/2021 - 03/06/2023
PRINCIPAL FUNDS DISTRIBUTOR, INC. (Stamford CT)
ME
01/22/2020 - 10/12/2021
FORESIDE FUND SERVICES, LLC (PORTLAND ME)
OH
08/23/2013 - 01/14/2020
NATIONWIDE INVESTMENT SERVICES CORPORATION (COLUMBUS OH)
RI
05/22/2008 - 08/19/2013
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
OH
11/12/2004 - 03/27/2008
JPMORGAN DISTRIBUTION SERVICES, INC. (COLUMBUS OH)
NJ
09/09/2003 - 11/26/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
BOTH
Issued 12/23/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 9/8/2003
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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