Bruce K. 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.
Bruce Kevin Nelson was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1983. Bruce had worked at 9 firms and has passed the 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
May 7, 2007 - December 31, 2024
E3 FINANCIAL GROUP, LLC
December 13, 1996 - December 11, 1998
INVESTORS CAPITAL CORP.
July 15, 1992 - December 31, 1994
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 16, 1989 - August 8, 1990
LPL FINANCIAL LLC
August 1, 1989 - December 16, 1989
LINSCO FINANCIAL GROUP, INC.
October 6, 1988 - August 3, 1989
COMMONWEALTH FINANCIAL NETWORK
May 27, 1987 - October 4, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
September 5, 1984 - June 10, 1987
PRUCO SECURITIES, LLC.
July 5, 1983 - January 9, 1984
METROPOLITAN LIFE INSURANCE COMPANY
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
E3 FINANCIAL GROUP, LLC
CRD#: 128602 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 11 |
| AUM (Assets Under Management) | $ 549,119 |
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.
