Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Nathaniel Joseph Blaine
Nate Blaine
CRD#: 6587744
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 330 N HIGGINS AVE
MISSOULA, MT 59802
Registration History
20082010201220142016201820202022202420262 FIRMS2019 - 2021 (2 years)2 FIRMS2021 - Present (3 years)
Disclosure(s)
View By:
9/10/2008
Criminal
Final Disposition
License(s)

State Registrations

B
Arizona 6/7/2021
IA
Montana 6/8/2021
B
California 6/7/2021
B
Nevada 6/7/2021
B
Colorado 10/27/2021
B
New Jersey 10/12/2022
B
Florida 6/7/2021
B
Oregon 6/7/2021
B
Georgia 10/29/2021
B
Pennsylvania 6/7/2021
B
Hawaii 6/7/2021
B
Texas 6/7/2021
B
Idaho 6/7/2021
IA
Texas 6/7/2021
B
Minnesota 10/29/2021
B
Washington 6/7/2021
B
Montana 6/8/2021

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
330 N HIGGINS AVE, MISSOULA, MT 59802
Registered with this firm since 6/7/2021
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
330 N HIGGINS AVE, MISSOULA, MT 59802
Registered with this firm since 6/7/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/15/2019 - 06/09/2021 D.A. DAVIDSON & CO. (CRD#:199) HAMILTON, MT
B
 03/05/2019 - 06/08/2021 D.A. DAVIDSON & CO. (CRD#:199) HAMILTON, MT
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.