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Detailed Report
Natalie Grace Collins
NATALIE GRACE COLLINS, Natalie G Collins, NATALIE G OBERT, NATALIE G ROE, NATALIE GRACE ROE
CRD#: 1539586
IA
Investment Adviser
B
Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 Pickerington, OH
Registration History
19952000200520102015202020252 FIRMS2016 - 2019 (3 years)2 FIRMS2019 - Present (5 years)BTHE HUNTINGTON INVESTMENT COMPANY (CRD# 16986)2013 - 2016 (2 years)BWACHOVIA SECURITIES, LLC (CRD# 19616)2003 - 2006 (2 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2001 - 2003 (2 years)BJ.C. BRADFORD & CO. (CRD# 1287)1998 - 1999 (1 year)BPAINEWEBBER INCORPORATED (CRD# 8174)1993 - 1998 (4 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1993 - 1993 (<1 year)
License(s)

State Registrations

B
Michigan 5/24/2019
IA
Ohio 5/22/2019
B
Ohio 5/22/2019
B
Pennsylvania 10/13/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ADVICE AND PLANNING SERVICES (CRD#:20472)
Pickerington, OH
Registered with this firm since 5/22/2019
B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
Pickerington, OH
Registered with this firm since 5/22/2019
Previous Registration(s)
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IA
 08/09/2016 - 05/16/2019 J.P. MORGAN SECURITIES LLC (CRD#:79) COLUMBUS, OH
B
 05/10/2016 - 05/16/2019 J.P. MORGAN SECURITIES LLC (CRD#:79) COLUMBUS, OH
B
 08/19/2013 - 05/02/2016 THE HUNTINGTON INVESTMENT COMPANY (CRD#:16986) COLUMBUS, OH
B
 10/17/2003 - 04/03/2006 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
B
 07/18/2001 - 09/15/2003 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
 03/24/1998 - 07/20/1999 J.C. BRADFORD & CO. (CRD#:1287) NEW YORK, NY
B
 11/09/1993 - 03/13/1998 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
 08/18/1993 - 11/02/1993 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.