Donald A. Nelson

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CRD#: 1318982

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.

Donald Alex Nelson, who also goes by Don Nelson, Donald Ale Nelson, was a registered financial professional .

Donald is a previously registered financial professional and started their career in finance in 1984. Donald had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Don Nelson | Donald Ale Nelson

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

September 28, 2018 - December 31, 2023

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

CRD#: 42941

GOLDEN VALLEY, MN

Past

January 12, 2007 - September 27, 2018

FELTL & COMPANY

CRD#: 6905

WAYZATA, MN

Past

August 7, 2000 - January 16, 2007

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WAYZATA, MN

Past

January 21, 1997 - August 7, 2000

JOHN G. KINNARD AND COMPANY, INCORPORATED

CRD#: 466

MINNEAPOLIS, MN

Past

June 6, 1990 - January 20, 1997

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

August 8, 1988 - June 4, 1990

HAYNE, MILLER FINANCIAL, INC.

CRD#: 13849

MINNEAPOLIS, MN

Past

February 1, 1988 - August 24, 1988

OBERWEIS SECURITIES, INC.

CRD#: 7739

Past

June 15, 1987 - February 1, 1988

ENGLER-BUDD & COMPANY INC.

CRD#: 1743

Past

April 6, 1987 - June 5, 1987

MCCLEES INVESTMENTS, INC.

CRD#: 18316

Past

September 30, 1985 - April 13, 1987

J.W. MCCLEES AND COMPANY, INC.

CRD#: 5971

Past

December 21, 1984 - September 6, 1985

PAGEL INC.

CRD#: 6007

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

EQUITY SECURITIES INVESTMENTS, INC. | THE SWANSON GROUP | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC | THE OAK RIDGE FINANCIAL SERVICES GROUP INC

CRD#: 42941 / SEC#: 801-80809, 8-50082

RIA

Registered Investment Advisory firm - SEC (1/15/2015 Approved)

Florida

Registered Investment Advisory firm - SEC (5/18/2015 Terminated)

Idaho

Registered Investment Advisory firm - SEC (12/31/2009 Terminated)

Illinois

Registered Investment Advisory firm - SEC (12/31/2009 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (5/18/2015 Terminated)

Montana

Registered Investment Advisory firm - SEC (12/31/2012 Terminated)

Washington

Registered Investment Advisory firm - SEC (12/14/2009 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (3/31/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/19/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/15/1984

General Securities Representative Examination

Current Firm

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

EQUITY SECURITIES INVESTMENTS, INC. | THE SWANSON GROUP | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC | THE OAK RIDGE FINANCIAL SERVICES GROUP INC

CRD#: 42941 / SEC#: 801-80809, 8-50082

RIA

Registered Investment Advisory firm - SEC (1/15/2015 Approved)

Florida

Registered Investment Advisory firm - SEC (5/18/2015 Terminated)

Idaho

Registered Investment Advisory firm - SEC (12/31/2009 Terminated)

Illinois

Registered Investment Advisory firm - SEC (12/31/2009 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (5/18/2015 Terminated)

Montana

Registered Investment Advisory firm - SEC (12/31/2012 Terminated)

Washington

Registered Investment Advisory firm - SEC (12/14/2009 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (3/31/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

701 Xenia Ave. South, Suite 100 Suite 100, Golden Valley, MN 55416-1089

Mailing Address

701 Xenia Ave. South, Suite 100, Golden Valley, MN 55416-1089

Phone number

(763) 923-2200

Established

Minnesota since 03/13/1997

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

SEC notice filing (34 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

202409 THE OAK RIDGE FINANCIAL SERVICES BROCHURE (12/16/2024)

Direct owners and executive officers

Name	Position	CRD#
OAK RIDGE ACQUISITION CORPORATION	CORPORATE OWNER
COWAN, BRANDON JAMES	EVP, CCO	5404862
EKMAN, JOHN RICHARD	EXECUTIVE VICE PRESIDENT	1632217
KING, RUSSELL STUART	CHAIRMAN, CEO & DIRECTOR	1703706
RIP, OLGA	FINOP	5440553
RUMBLE, JULIE ANN MACY	VP, OPERATIONS MANAGER	2643309

Regulatory assets under management

Total Number of Accounts	1,501
AUM (Assets Under Management)	$ 456,416,227

Disclosures

Regulatory Event	8
Arbitration	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.

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Firm Stability Insights

Donald A. Nelson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FELTL & COMPANY

WELLS FARGO CLEARING SERVICES, LLC

JOHN G. KINNARD AND COMPANY, INCORPORATED

DAIN RAUSCHER INCORPORATED

HAYNE, MILLER FINANCIAL, INC.

OBERWEIS SECURITIES, INC.

ENGLER-BUDD & COMPANY INC.

MCCLEES INVESTMENTS, INC.

J.W. MCCLEES AND COMPANY, INC.

PAGEL INC.

Primary Firm SEC Registration

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/19/1984

SIE

Date: 10/1/2018

Series 7

Date: 12/15/1984

Current Firm

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

Contact information

SEC notice filing (34 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

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