Ronald C. Nelson

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CRD#: 1137618

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.

Ronald Clark Nelson was a registered financial professional .

Ronald is a previously registered financial professional and started their career in finance in 1983. Ronald had worked at 12 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 1, 2021 - December 31, 2022

THE LEADERS GROUP, INC.

CRD#: 37157

Essex, CT

Past

May 15, 2013 - June 2, 2021

ESSEX FINANCIAL SERVICES, INC.

CRD#: 127549

ESSEX, CT

Past

March 4, 2008 - May 7, 2013

LPL FINANCIAL LLC

CRD#: 6413

CHARLOTTE, NC

Past

March 16, 2000 - March 4, 2008

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

December 15, 1998 - March 17, 2000

CITIZENS SECURITIES, INC.

CRD#: 39550

JOHNSTON, RI

Past

April 11, 1996 - December 31, 1996

CONSECO SECURITIES, INC.

CRD#: 29367

CARMEL, IN

Past

January 12, 1996 - February 4, 1998

FIS SECURITIES, INC.

CRD#: 30533

BOSTON, MA

Past

October 24, 1995 - November 6, 1995

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

May 2, 1989 - May 26, 1995

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

April 2, 1987 - April 11, 1989

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

Past

May 23, 1986 - April 6, 1987

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

Past

June 22, 1983 - May 16, 1986

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 7/13/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/18/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/2/1990

General Securities Principal Examination

Current Firm

THE LEADERS GROUP, INC.

SIMPLICITY INVESTMENTS | THE LEADERS GROUP, INC. | THE LEADERS GROUP

CRD#: 37157 / SEC#: , 8-47639

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

475 Springfield Ave, Summit, NJ 07901

Mailing Address

475 Springfield Ave Suite 1, Summit, NJ 07901

Phone number

(303) 797-9080

Established

Delaware since 07/14/1994

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SIMPLICITY FINANCIAL MARKETING HOLDINGS, INC.	SHAREHOLDER
PETERS, ROBERT WILLIAM	FINOP	1704577
RILEY, ZORAH JANE	CHIEF COMPLIANCE OFFICER	3015509
WICKERSHAM, SEAN DAVID	PRESIDENT	4994630

Disclosures

Regulatory Event

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.

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Ronald C. Nelson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ESSEX FINANCIAL SERVICES, INC.

LPL FINANCIAL LLC

IFMG SECURITIES, INC.

CITIZENS SECURITIES, INC.

CONSECO SECURITIES, INC.

FIS SECURITIES, INC.

A. G. EDWARDS & SONS, INC.

INVEST FINANCIAL CORPORATION

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 7/13/1983

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/18/1983

Series 24

Date: 7/2/1990

Current Firm

THE LEADERS GROUP, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

THE LEADERS GROUP, INC.

TRUST BUT VERIFY

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