Nathan Lee Ketcham

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2023-10-06

CO RA
APPROVED

Since 2023-10-06

Branch Locations

Bronx, NY • United States

7541 E Iliff Avenue, Denver, CO 80231 • United States

8959 E 40Th Avenue, Denver, CO 80238 • 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

Organization	City	State	From	To
Lpl Financial Llc	Colorado Springs	CO	03/2023	Present
Koi Ny Llc	New York	NY	11/2021	Present
Tao Uptown	New York	NY	05/2021	11/2021
The Fulton By Jean-Georges	New York	NY	02/2019	05/2021
Unemployment	New York	NY	04/2020	08/2020
The Rag Trader	New York	NY	11/2018	02/2019
Koi Ny Llc	New York	NY	09/2017	11/2018
Snooze	Fort Collins	CO	03/2013	07/2017
Unemployed Whilst Moving From Colorado To New York	New York	NY	07/2017	09/2017
Credit Union Of Colorado	Denver	CO	10/2023	Present

03/2023 → Present

Lpl Financial Llc

Colorado Springs, CO
11/2021 → Present

Koi Ny Llc

New York, NY
05/2021 → 11/2021

Tao Uptown

New York, NY
02/2019 → 05/2021

The Fulton By Jean-Georges

New York, NY
04/2020 → 08/2020

Unemployment

New York, NY
11/2018 → 02/2019

The Rag Trader

New York, NY
09/2017 → 11/2018

Koi Ny Llc

New York, NY
03/2013 → 07/2017

Snooze

Fort Collins, CO
07/2017 → 09/2017

Unemployed Whilst Moving From Colorado To New York

New York, NY
10/2023 → Present

Credit Union Of Colorado

Denver, CO

Other Businesses

1) 3/2023 - KOI NY LLC / Outside/W-2 Employment / Not Investment Related / 50 Hour per month / 40 Time spent percent / 0 Hours during trading / NEW YORK, NY 10017 2) 3/2023 - EXECUTIVE WEALTH STRATEGIES / DBA for LPL Business (entity for LPL business) / Investment Related / 120 Hours per month / 60 Time spent percent / 5 Hours during trading / COLORADO SPRINGS, CO 80906 3) 3/2023 - COLORADO FINANCIAL PARTNERS, LLC / DBA for LPL Business (entity for LPL business) / Investment Related / 120 Hours per month / 60 Time spent percent / 5 Hours during trading / GOLDEN, CO 80401 4) 01/17/2024 - Investment Center Located at Credit Union of Colorado - Investment Related - At Reported Business Location(s) - Start Date 10/23/2023 - 150 Hours per Month/ During Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2023-10-05

S66 Uniform Combined State Law Examination

2023-10-05

View on SEC IAPD