Larry E. 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.
Larry Earl Nelson, who also goes by Larry E Nelson, was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1983. Larry had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2018 - January 23, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 7, 2015 - January 23, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 30, 2009 - January 7, 2015
LPL FINANCIAL LLC
November 24, 2008 - December 1, 2009
INVEST FINANCIAL CORPORATION
May 15, 2006 - December 2, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
October 31, 2005 - May 24, 2006
OSAIC SERVICES, INC.
December 1, 2000 - October 31, 2005
SUNAMERICA SECURITIES, INC.
August 3, 1998 - December 19, 2000
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 3, 1998 - December 19, 2000
OSAIC FA, INC.
March 13, 1990 - July 28, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
January 18, 1983 - July 26, 1989
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
