Charles P. 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.
Charles Patrick Nelson was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1983. Charles had worked at 5 firms and has passed the Series 63, SIE, Series 6, Series 26 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2015 - April 17, 2023
VOYA FINANCIAL PARTNERS, LLC
August 18, 2003 - July 25, 2005
CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.
January 3, 1997 - May 6, 1997
ONE ORCHARD EQUITIES, INC.
January 19, 1988 - April 30, 2015
EMPOWER FINANCIAL SERVICES, INC.
July 14, 1983 - January 3, 1997
THE GREAT-WEST LIFE ASSURANCE 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
VOYA FINANCIAL PARTNERS, LLC
CRD#: 34815 / SEC#: 801-57637, 8-46451
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
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.
