Larry L. Nelson
Professional summary
Larry Laverne Nelson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Larry is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Larry had worked at 12 firms, which includes STRATEGIC ASSETS INC., PROTECTIVE GROUP SECURITIES CORPORATION, FAS WEALTH MANAGEMENT SERVICES INC., SFI INVESTMENTS INC., JOSEPH CHARLES & ASSOC. INC., FIN-ATLANTIC SECURITIES INC., PARAGON CAPITAL MARKETS INC., WILLIAM & CO. CAPITAL MARKETS LTD., FIRST NEW ENGLAND SECURITIES CORPORATION, PACIFIC SOUTHERN SECURITIES INC., THE STUART-JAMES COMPANY INCORPORATED, BLINDER ROBINSON & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2000 - October 29, 2001
STRATEGIC ASSETS INC.
July 14, 1998 - May 1, 2001
PROTECTIVE GROUP SECURITIES CORPORATION
October 1, 1997 - May 27, 1998
FAS WEALTH MANAGEMENT SERVICES, INC.
February 8, 1997 - December 19, 1997
SFI INVESTMENTS, INC.
November 27, 1995 - November 7, 1996
JOSEPH CHARLES & ASSOC., INC.
May 9, 1995 - October 31, 1995
FIN-ATLANTIC SECURITIES, INC.
July 7, 1994 - August 1, 1994
PARAGON CAPITAL MARKETS, INC.
March 4, 1993 - April 14, 1993
WILLIAM & CO. CAPITAL MARKETS LTD.
April 22, 1992 - December 31, 1992
FIRST NEW ENGLAND SECURITIES CORPORATION
January 23, 1991 - March 23, 1992
PACIFIC SOUTHERN SECURITIES, INC.
August 8, 1990 - November 24, 1990
THE STUART-JAMES COMPANY, INCORPORATED
July 16, 1985 - October 18, 1990
BLINDER, ROBINSON & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
STRATEGIC ASSETS INC.
CRD#: 37590 / SEC#: , 8-47815
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| APPEL, RANDALL STEPHEN | PRESIDENT | |
| APPEL, RANDALL STEPHEN | PRESIDENT | 737169 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
Red Flags
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