Richard C. Nelson
Professional summary
Richard Charles Nelson is a registered financial professional currently at JOSEPH STONE CAPITAL L.L.C. located in Garden City, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1983. Richard has worked at 12 firms and has passed the Series 63, Series 79TO, SIE, Series 87, Series 86, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Charles Nelson's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 6, 2014 - Present
JOSEPH STONE CAPITAL L.L.C.
Office #1: 585 Stewart Ave Suite L60c, Garden City, NY 11530August 4, 2011 - February 14, 2012
OCEAN CROSS CAPITAL MARKETS LLC
January 28, 2011 - July 11, 2011
THE WILLIAMS CAPITAL GROUP, L.P.
September 1, 2009 - December 7, 2010
SOUTHRIDGE INVESTMENT GROUP LLC
February 21, 2008 - October 28, 2008
JESUP & LAMONT SECURITIES CORP
January 23, 2006 - January 18, 2008
NEWOAK CAPITAL MARKETS LLC
June 22, 2005 - January 13, 2006
BLAYLOCK & COMPANY, INC.
April 23, 2002 - June 17, 2005
MORGAN JOSEPH TRIARTISAN LLC
April 30, 2001 - April 19, 2002
ABN AMRO INCORPORATED
July 8, 1995 - April 30, 2001
ABN AMRO SECURITIES LLC
February 6, 1992 - April 21, 1995
LEHMAN BROTHERS INC.
July 20, 1983 - November 1, 1991
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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(3/6/2014)
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(11/27/2023)
(4/9/2024)
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(9/14/2022)
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(8/12/2022)
(10/21/2025)
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Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
JOSEPH STONE CAPITAL L.L.C.
CRD#: 159744 / SEC#: , 8-69014
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
Red Flags
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