Nelson Negron
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.
Nelson Negron was a registered financial professional .
Nelson is a previously registered financial professional and started their career in finance in 1985. Nelson had worked at 11 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2013 - April 5, 2013
RAYMOND JAMES & ASSOCIATES, INC.
February 13, 2013 - April 5, 2013
RAYMOND JAMES & ASSOCIATES, INC.
September 26, 2011 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
September 20, 2011 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
January 10, 2011 - September 21, 2011
INSIGNEO SECURITIES, LLC
August 31, 2010 - September 19, 2011
REHMANN WEALTH
June 21, 2010 - January 12, 2011
OSAIC WEALTH, INC.
September 29, 2009 - June 14, 2010
MORGAN KEEGAN & COMPANY, LLC
September 1, 2009 - June 14, 2010
MORGAN KEEGAN & COMPANY, LLC
March 13, 2008 - September 10, 2009
ACTIVA CAPITAL MARKETS, INC.
September 6, 2007 - April 1, 2009
ZENITH CAPITAL INVESTMENT ADVISORS, LLC
November 21, 2003 - April 17, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 30, 2003 - April 17, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 1, 2003 - October 17, 2003
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - October 17, 2003
WELLS FARGO CLEARING SERVICES, LLC
August 2, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 28, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
March 11, 1985 - July 14, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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
Series 8
Date: 8/28/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| AULETTA, SUZANNE ELIZABETH | DIRECTOR | 1418817 |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CAMPAGNOLI, VINCENT JOHN | CHIEF INFORMATION OFFICER | 1421076 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
