Kent L. Nelson
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.
Kent Lee Nelson was a registered financial professional .
Kent is a previously registered financial professional and started their career in finance in 1986. Kent had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2013 - November 9, 2015
STRATEGIC ADVISERS LLC
December 3, 2012 - November 3, 2015
FIDELITY BROKERAGE SERVICES LLC
November 15, 2011 - October 18, 2012
FMG DISTRIBUTORS, INC.
September 24, 2010 - August 18, 2011
STATE FARM VP MANAGEMENT CORP.
July 8, 2009 - November 17, 2009
CAPITAL SOLUTIONS DISTRIBUTORS, LLC
January 7, 2004 - March 3, 2009
ALLIANZ LIFE FINANCIAL SERVICES, LLC
October 23, 2001 - January 6, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 2, 2000 - January 6, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 19, 2000 - June 7, 2000
CETERA INVESTMENT SERVICES LLC
October 4, 1994 - November 19, 1999
SUNPOINT SECURITIES, INC.
March 30, 1990 - October 11, 1994
PIPER SANDLER & CO.
May 14, 1988 - April 23, 1990
LEHMAN BROTHERS INC.
April 25, 1986 - May 14, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
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
Current Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
