Individual Firm
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NATHAN RYAN GARCIA
CRD#: 4371490
IA
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CONFLUENCE FINANCIAL PARTNERSCRD#: 311980 1605 Carmody Court
Ste 101
Sewickley, PA 15143
Ste 101
Sewickley, PA 15143
0
Disclosures
23
Years of Experience
View By:
State Registrations
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Pennsylvania 7/2/2021
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Texas 10/29/2021
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Registered with this firm since 7/2/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/07/2019 - 07/07/2021 | Pittsburgh, PA | |
B | 03/07/2019 - 07/07/2021 | PITTSBURGH, PA | |
IA | 01/01/2004 - 03/13/2019 | PITTSBURGH, PA | |
B | 01/01/2004 - 03/13/2019 | PITTSBURGH, PA | |
IA | 05/27/2003 - 01/01/2004 | PITTSBURGH, PA | |
B | 06/01/2002 - 01/01/2004 | LOUISVILLE, KY | |
B | 03/26/2001 - 06/01/2002 | PITTSBURGH, PA |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.