Christopher J. Nelson

NELSON CAPITAL ADVISORS

Orono, ME

Some features on this profile are disabled

CRD#: 1474204

Professional summary

Christopher John Nelson is a registered financial advisor currently at NELSON CAPITAL ADVISORS located in Orono, Maine.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Christopher has worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Bond Investment Mentor, LLC, not investment related, Orono Maine, President, 10/2020 to Present, providing impersonal education services on fixed income securities,less than 50% of my time is spent on this business.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher John Nelson'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®

None

Experience

Current

April 2, 2020 - Present

NELSON CAPITAL ADVISORS

RIA

CRD#: 307706

Orono, ME

Past

November 12, 2001 - March 27, 2007

BANGOR SECURITIES, INC.

CRD#: 4302

BANGOR, ME

Past

July 15, 1992 - May 12, 2000

CCBT BROKERAGE DIRECT, INC.

CRD#: 29602

HYANNIS, MA

Past

January 30, 1992 - February 20, 1992

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

January 30, 1992 - February 20, 1992

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

NELSON CAPITAL ADVISORS

NELSON CAPITAL ADVISORS | NELSON ENTERPRISES LLC

CRD#: 307706 / SEC#: 801-128579

RIA

Registered Investment Advisory firm - (8/16/2023 Approved)

Maine

Registered Investment Advisory firm - (10/30/2023 Terminated)

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Maine
(4/2/2020)

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: 1/20/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/28/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/10/1993

General Securities Principal Examination

Current Firm

NELSON CAPITAL ADVISORS

NELSON CAPITAL ADVISORS | NELSON ENTERPRISES LLC

CRD#: 307706 / SEC#: 801-128579

RIA

Registered Investment Advisory firm - (8/16/2023 Approved)

Maine

Registered Investment Advisory firm - (10/30/2023 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Orono, ME

Mailing Address

499 Broadway #209, Bangor, ME 04401

Phone number

(207) 420-2442

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

NELSON ADV PART 2B (3/14/2025)

NELSON CAPITAL ADVISORS (3/14/2025)

Regulatory assets under management

Total Number of Accounts	3
AUM (Assets Under Management)	$ 1,517,551,970

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Christopher J. Nelson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher John Nelson's CRS (Customer Relationship Summary).

Certified licenses

Experience

BANGOR SECURITIES, INC.

CCBT BROKERAGE DIRECT, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

NELSON CAPITAL ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 1/20/1992

Series 7

Date: 1/28/1992

Series 24

Date: 8/10/1993

Current Firm

NELSON CAPITAL ADVISORS

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NELSON CAPITAL ADVISORS

TRUST BUT VERIFY

Similar Advisors