Natwest Markets Securities Inc.

Broker-DealerFINRA Member
Total AUM
—
Advisory reps
137
Avg account
$0

Firm details

Headquarters
Stamford, Connecticut
CRD number
11707
Registered since
December 29, 1986
Website
natwest.us

Firm profile

FINTRX

Overview

Natwest Markets Securities Inc. is organized as a corporation and is classified in FINTRX as an investment bank rather than a discretionary wealth manager. The snapshot indicates a mixed ownership listing (domestic entity and individual) and identifies the firm’s primary orientation toward capital markets activity rather than acting as a capital allocator. The entry does not disclose a fee model, advisory activities, or a client roster; instead, the profile reads like a trading/intermediation entity with no reported advisory client relationships. The FINTRX data also flags that the firm does not characterize itself as an active ESG investor, a multi-state adviser, a pension consultant, or a related adviser. Those attributes, combined with the lack of published client or AUM information, suggest Natwest Markets Securities Inc. functions operationally as an investment-banking/markets business serving institutional or corporate counterparties rather than a retail-focused Registered Investment Adviser.

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

3 of 8
  • Michelle Girard

    Michelle Girard

    CEOCRD 2185240

  • Kevin Cummins

    Kevin Cummins

    Chief EconomistCRD 2673435

  • Diana Preni

    Diana Preni

    VP & COOCRD 4220405

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Contacts

3 of 129
  • Gregory Noonan

    SupervisorCRD 1235833

  • Michael Russo

    Tax DirectorCRD 1430782

  • Mark Funsch

    Mark Funsch

    Rates SalesCRD 1525150

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

Stamford, CT

Fairfield

Location

Stamford, CT

Headquartered in Stamford, CT, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area
New York-Newark, NY-NJ-CT-PA
Region
Northeast
County
Fairfield
Address
600 Washington Blvd
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth