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Nathan Stephens

Charles Schwab & Co., Inc.

West Hartford, CT

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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2022-04-12
  • CT RA
    APPROVED
    Since 2022-04-12

Branch Locations

11 South Main Street, West Hartford, CT 06107 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Fidelity Brokerage Services Llc Greenwood Village CO 06/2015 08/2021
Fidelity Personal And Workplace Advisors Denver CO 06/2015 08/2021
Td Ameritrade West Hartford CT 09/2021 12/2022
Charles Schwab & Co., Inc. West Hartford CT 04/2022 Present
Charles Schwab And Co., Inc. West Hartford CT 12/2022 Present
Charles Schwab Bank West Hartford CT 11/2023 Present
  • 06/2015 → 08/2021
    Fidelity Brokerage Services Llc
    Greenwood Village, CO
  • 06/2015 → 08/2021
    Fidelity Personal And Workplace Advisors
    Denver, CO
  • 09/2021 → 12/2022
    Td Ameritrade
    West Hartford, CT
  • 04/2022 → Present
    Charles Schwab & Co., Inc.
    West Hartford, CT
  • 12/2022 → Present
    Charles Schwab And Co., Inc.
    West Hartford, CT
  • 11/2023 → Present
    Charles Schwab Bank
    West Hartford, CT
Previous Registrations
  • 2021-10-04 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    West Hartford, CT
  • 2021-10-04 → 2022-10-14
    Td Ameritrade, Inc.
    West Hartford, CT
    Omaha, NE
  • 2018-07-13 → 2021-08-30
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 2015-08-10 → 2018-07-13
    Strategic Advisers Llc
    Greenwood Village, CO
    Broomfield, CO
    Colorado Springs, CO
  • 2014-09-10 → 2015-06-15
    Edward Jones
    St Louis, MO
    Highlands Ranch, CO
    Lone Tree, CO
Other Businesses

1) Rental Property | Investment Related:No|366 Lime Rock Rd|Lakeville|CT|06039|USA|Real Estate (Non-Agent/Broker)|Owner|9/17/2024|Less than 20|0|Owner of a Rental Property. I am purchasing a cabin and will offer short term rentals through Airbnb and VRBO.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-09-08
  • S66 Uniform Combined State Law Examination
    2014-09-08
Other Names
  • Nathan Edward Stephens

View on SEC IAPD

Other Firms

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COMMONWEALTH FINANCIAL NETWORK
JANNEY MONTGOMERY SCOTT LLC
LPL FINANCIAL LLC
CETERA INVESTMENT ADVISERS LLC
PRIME CAPITAL FINANCIAL
THE PATRIOT FINANCIAL GROUP, LLC
NEWEDGE ADVISORS

Other Investors

David Walter McCary
EDWARD ALLEN STEIGER
JENNIFER E LANGE
RICHARD JOSEPH CARDINAL
PAUL FRANCIS VAIDA
Andrew John Lawson
Alexis Jankauskas
ROBERT MARK BORKOWSKI

Other Offices

MCCARY ANHEUSER WEALTH MANAGEMENT, LLC · WEST HARTFORD, CT
COMMONWEALTH FINANCIAL NETWORK · West Hartford, CT
JANNEY MONTGOMERY SCOTT LLC · West Hartford, CT
LPL FINANCIAL LLC · WEST HARTFORD, CT
CETERA INVESTMENT ADVISERS LLC · WEST HARTFORD, CT
LPL FINANCIAL LLC · WEST HARTFORD, CT
PRIME CAPITAL FINANCIAL · West Hartford, CT
THE PATRIOT FINANCIAL GROUP, LLC · WEST HARTFORD, CT

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