Gregory F. Nelson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gregory Francis Nelson was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1988. Gregory had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 12, 1996 - May 9, 2017
COMMERCE BROKERAGE SERVICES, INC.
July 25, 1994 - February 9, 1995
BANC IV INVESTMENTS, INC.
July 16, 1991 - July 19, 1994
H & R BLOCK FINANCIAL CORPORATION
May 25, 1988 - July 19, 1994
H & R BLOCK FINANCIAL CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
COMMERCE BROKERAGE SERVICES, INC.
CRD#: 17140 / SEC#: 801-66509, 8-35096
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMERCE BANK | SOLE STOCKHOLDER | |
| CHMELKA, JOHN EMIL | PRINCIPAL OPERATIONS OFFICER | 2052962 |
| HARMON, THOMAS DARIN | PRESIDENT/CHIEF EXECUTIVE OFFICER | 7787415 |
| MOWER, MATHEW ROBERT | SENIOR VICE PRESIDENT | 3176197 |
| REECE, JOSEPH STEVEN | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 2227282 |
| ROWE, MARGARET | CORPORATE SECRETARY | 7576973 |
| SIMPSON, TIFFANY LYNN | TREASURER/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER | 6685507 |
| SWANSON, ERIK ANDREW | EXECUTIVE VICE PRESIDENT | 4170204 |
Regulatory assets under management
| Total Number of Accounts | 3,570 |
| AUM (Assets Under Management) | $ 650,363,405 |
Disclosures
| Regulatory Event | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
