RN
Roy E. Nelson
WULFF, HANSEN & CO.
San Rafael, CA 94903
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CRD#: 1321100
RN
Professional summary
Roy Emil Nelson II is a registered financial professional currently at WULFF, HANSEN & CO. located in San Rafael, California.
Roy is registered as a RR (Registered Representative) and started their career in finance in 1985. Roy has worked at 2 firms and has passed the Series 79TO, SIE, Series 50, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Roy Emil Nelson II's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 17, 2008 - Present
WULFF, HANSEN & CO.
Office #1: 100 Smith Ranch Road, Suite 330, San Rafael, CA 94903RIA
BD
CRD#: 908
San Rafael, CA
Past
January 23, 1985 - March 17, 2008
ALTURA, NELSON & CO., INCORPORATED
BD
CRD#: 14600
SAN RAMON, CA
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".
WULFF, HANSEN & CO.
WULFF CAPITAL MANAGEMENT | WULFF, HANSEN & CO.
CRD#: 908 / SEC#: 801-126111, 8-292
RIA
Registered Investment Advisory firm - SEC (7/15/2022 Approved)California
Registered Investment Advisory firm - SEC (8/17/2022 Terminated)Texas
Registered Investment Advisory firm - SEC (7/18/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(3/20/2008)
Exams
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WULFF, HANSEN & CO.
WULFF CAPITAL MANAGEMENT | WULFF, HANSEN & CO.
CRD#: 908 / SEC#: 801-126111, 8-292
RIA
Registered Investment Advisory firm - SEC (7/15/2022 Approved)California
Registered Investment Advisory firm - SEC (8/17/2022 Terminated)Texas
Registered Investment Advisory firm - SEC (7/18/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information
Main Address
100 Smith Ranch Road, Suite 330 Suite 330, San Rafael, CA 94903
Mailing Address
100 Smith Ranch Road, Suite 330, San Rafael, CA 94903
Phone number
(415) 421-8900
Established
California since 12/28/1931
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
9
SEC notice filing (2 States and Territories)
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 138 |
| AUM (Assets Under Management) | $ 132,528,477 |
Disclosures
| Regulatory Event | 4 |
| Bond | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
WULFF, HANSEN & CO.
CRD#: 908San Rafael, CA 94903TRUST BUT VERIFY
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