Best Investors Account Sign in

Nathan James Warwick

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Phoenix, AZ

Claim This Profile
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2019-09-23
CA RA APPROVED 2018-06-18
  • TX RA
    APPROVED
    Since 2019-09-23
  • CA RA
    APPROVED
    Since 2018-06-18

Branch Locations

2555 E Camelback Rd, Phoenix, AZ 85016 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Phoenix AZ 04/2018 Present
Bridgecrest Mesa AZ 10/2017 04/2018
In N Out Burger Chandler AZ 10/2013 10/2017
Bank Of America, N.A. Phoenix AZ 06/2025 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-06-16
  • S66 Uniform Combined State Law Examination
    2018-06-16
Other Names
  • Nathan Warwick

View on SEC IAPD

Other Firms

EW ADVISER, LLC
UBS FINANCIAL SERVICES INC.
KESTRA ADVISORY SERVICES, LLC
SMEAD CAPITAL MANAGEMENT, INC.
J.P. MORGAN SECURITIES LLC
WELLS FARGO CLEARING SERVICES, LLC
ROBERT W. BAIRD & CO. INCORPORATED
MARINER

Other Investors

DAREN MICHAEL FRANKEBERGER
Kenneth ALEXANDER Riley
Jamie L Morton
HEATH EDWARD WHETSEL
Rizwan B Shah
JOSEPH JOHN MCNAUGHTON
Alyssa Shelton
Frank Iustin Mancuso

Other Offices

EW ADVISER, LLC · PHOENIX, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PHOENIX, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PHOENIX, AZ
UBS FINANCIAL SERVICES INC. · PHOENIX, AZ
UBS FINANCIAL SERVICES INC. · Phoenix, AZ
UBS FINANCIAL SERVICES INC. · PHOENIX, AZ
KESTRA ADVISORY SERVICES, LLC · PHOENIX, AZ
SMEAD CAPITAL MANAGEMENT, INC. · PHOENIX, AZ

More in Phoenix, AZ

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor