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NATHANIEL JAMES HURST
NATHANIEL J HURST
CRD#: 5201885
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 100 PRINGLE AVE
STE 420
WALNUT CREEK, CA 94596-7385
STE 420
WALNUT CREEK, CA 94596-7385
0
Disclosures
18
Years of Experience
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State Registrations
B
California 12/24/2014
IA
California 12/24/2014
SRO Registrations
B
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IA
Registered with this firm since 12/24/2014
B
Registered with this firm since 12/24/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/20/2012 - 01/08/2015 | SAN JOSE, CA | |
B | 04/20/2012 - 01/08/2015 | SAN JOSE, CA | |
IA | 10/23/2009 - 04/24/2012 | SAN JOSE, CA | |
B | 10/23/2009 - 04/24/2012 | SAN JOSE, CA | |
IA | 07/30/2007 - 10/23/2009 | SAN JOSE, CA | |
B | 07/30/2007 - 10/23/2009 | SAN JOSE, CA | |
B | 10/13/2006 - 03/29/2007 | CARMEL, CA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.