Bruce E. 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 Edward Nelson was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1984. Bruce had worked at 4 firms and has passed the Series 63, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2005 - December 4, 2006
STUART SECURITIES CORP.
May 17, 1993 - September 12, 1994
AEGON USA SECURITIES INC.
December 3, 1990 - May 17, 1993
OSAIC WEALTH, INC.
May 15, 1984 - November 20, 1990
METLIFE INVESTORS DISTRIBUTION 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
STUART SECURITIES CORP.
CRD#: 47076 / SEC#: , 8-51666
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STUART FINANCIAL CORP. | OWNER | |
| TONNER, KELVIN GORDON | CCO, SECRETARY & TREASURER | 4525875 |
Disclosures
| Regulatory Event | 2 |
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.
