Gregory N. 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.
Gregory Neal Nelson was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1983. Gregory had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2007 - September 29, 2013
NEAL CAPITAL MANAGEMENT, LLC
January 16, 1996 - August 11, 1998
TRANSAMERICA FINANCIAL ADVISORS, INC.
June 1, 1995 - December 12, 1995
SENTRA SECURITIES CORPORATION
September 5, 1986 - January 19, 1989
UBS FINANCIAL SERVICES INC.
October 19, 1983 - September 12, 1986
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NEAL CAPITAL MANAGEMENT, LLC
CRD#: 141649 / SEC#:
Contact information
Red Flags
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