JN
James E. Nelson
MOLONEY SECURITIES ASSET MANAGEMENT LLC
Redwood Falls, MN 56283
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CRD#: 1519970
JN
Professional summary
James Edward Nelson is a registered financial advisor currently at MOLONEY SECURITIES ASSET MANAGEMENT LLC located in Redwood Falls, Minnesota and MOLONEY SECURITIES CO., INC. located in Redwood Falls, Minnesota.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. James has worked at 7 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 53 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.
Minnesota Valley Investments, 600 East Bridge St Redwood Falls, MN 56283, investment related, DBA of Moloney Securities. Advisory services. Securities offered through Moloney Securities Co., Inc.
CRS (Client Relationship Summary) - RIA
Click below to view James Edward 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®
NoneExperience
Current
February 25, 2016 - Present
MOLONEY SECURITIES ASSET MANAGEMENT LLC
Office #1: 315 South Washington Street, Redwood Falls, MN 56283RIA
CRD#: 282448
Redwood Falls, MN
Current
March 28, 2014 - Present
MOLONEY SECURITIES CO., INC.
Office #1: 315 South Washington Street, Redwood Falls, MN 56283BD
CRD#: 38535
Redwood Falls, MN
Past
March 17, 2016 - December 31, 2016
MOLONEY INVESTMENT ADVISORY LLC
RIA
CRD#: 282140
REDWOOD FALLS, MN
Past
March 31, 2014 - April 27, 2016
MOLONEY SECURITIES CO., INC.
RIA
CRD#: 38535
REDWOOD FALLS, MN
Past
January 9, 2014 - September 17, 2014
MINNESOTA VALLEY INVESTMENT ADVISORS LLC
RIA
CRD#: 145638
REDWOOD FALLS, MN
Past
October 18, 1989 - March 28, 2014
MINNESOTA VALLEY INVESTMENTS
BD
CRD#: 24951
SLAYTON, MN
Past
December 11, 1987 - September 12, 1989
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
June 26, 1986 - December 8, 1987
JOHN G. KINNARD AND COMPANY, INCORPORATED
BD
CRD#: 466
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".
MS
MOLONEY SECURITIES ASSET MANAGEMENT LLC
ADVANCED FINANCIAL SOLUTIONS LLC | WESTPORT ADVISORY GROUP, LLC | WARREN FINANCIAL SERVICES | VANCE CAPITAL MANAGEMENT, LLC | TEAM DUNCAN FINANCIAL | SYNERGISTIC FINANCIAL CENTER | SUGAR CREEK ADVISORY GROUP | ST. LOUIS ASSET MANAGEMENT | ST. CROIX CAPITAL MANAGEMENT | SENTINEL WEALTH MANAGEMENT | SALISH WEALTH MANAGEMENT | RUSSELL WEALTH MANAGEMENT | ROYAL ROUTE COMPANY, LLC | PLANNED INVESTMENT COMPANY, INC. | NYE INVESTMENT PLANNERS, INC. | NMG FINANCIAL SERVICES | NETSTREET BROKERAGE | MOLONEY SECURITIES ASSET MANAGEMENT LLC | MINNESOTA VALLEY INVESTMENTS | LITTLEWOOD FINANCIAL SERVICES, LLC | LILLEBERG FINANCIAL GROUP | KEKERIS FINANCIAL GROUP | JCL CAPITAL MANAGEMENT, LLC | INVESTMENT CENTER OF GREENVILLE | INVESTMENT CENTER OF ESTES PARK, INC. | HERITAGE INVESTMENT MANAGEMENT, LLP | GRAND GLAIZE WEALTH MANAGEMENT | CP WEALTH | CHRISTIANSON FINANCIAL ADVISORS LLC | BRIDGES FINANCIAL | ASSET ALLIANCE FINANCIAL WEALTH MANAGEMENT AND PLANNING | ARTISAN ASSET MANAGEMENT, LLC | ARLINGTON FINANCIAL SERVICES
CRD#: 282448 / SEC#: 801-107149
RIA
Registered Investment Advisory firm - (12/31/2015 Approved)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.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(3/28/2014)
RR
Colorado(1/29/2016)
RR
Florida(4/21/2014)
RR
Minnesota(3/28/2014)
IAR
Minnesota(2/25/2016)
RR
South Dakota(9/13/2023)
RR
Wisconsin(9/28/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MS
MOLONEY SECURITIES ASSET MANAGEMENT LLC
ADVANCED FINANCIAL SOLUTIONS LLC | WESTPORT ADVISORY GROUP, LLC | WARREN FINANCIAL SERVICES | VANCE CAPITAL MANAGEMENT, LLC | TEAM DUNCAN FINANCIAL | SYNERGISTIC FINANCIAL CENTER | SUGAR CREEK ADVISORY GROUP | ST. LOUIS ASSET MANAGEMENT | ST. CROIX CAPITAL MANAGEMENT | SENTINEL WEALTH MANAGEMENT | SALISH WEALTH MANAGEMENT | RUSSELL WEALTH MANAGEMENT | ROYAL ROUTE COMPANY, LLC | PLANNED INVESTMENT COMPANY, INC. | NYE INVESTMENT PLANNERS, INC. | NMG FINANCIAL SERVICES | NETSTREET BROKERAGE | MOLONEY SECURITIES ASSET MANAGEMENT LLC | MINNESOTA VALLEY INVESTMENTS | LITTLEWOOD FINANCIAL SERVICES, LLC | LILLEBERG FINANCIAL GROUP | KEKERIS FINANCIAL GROUP | JCL CAPITAL MANAGEMENT, LLC | INVESTMENT CENTER OF GREENVILLE | INVESTMENT CENTER OF ESTES PARK, INC. | HERITAGE INVESTMENT MANAGEMENT, LLP | GRAND GLAIZE WEALTH MANAGEMENT | CP WEALTH | CHRISTIANSON FINANCIAL ADVISORS LLC | BRIDGES FINANCIAL | ASSET ALLIANCE FINANCIAL WEALTH MANAGEMENT AND PLANNING | ARTISAN ASSET MANAGEMENT, LLC | ARLINGTON FINANCIAL SERVICES
CRD#: 282448 / SEC#: 801-107149
RIA
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Contact information
Main Address
13537 Barrett Parkway Drive, Suite 300, Manchester, MO 63021
Mailing Address
Phone number
(314) 909-0600
Established
Firm type
Fiscal year end
# of Employees
77
SEC notice filing (50 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,390 |
| AUM (Assets Under Management) | $ 1,389,405,894 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 01/14/2025 | ||
| 12/20/2023 | ||
| 12/22/2022 |
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.
