Arealous Clayton Earthman
Professional Summary
Arealous Clayton Earthman, who also goes by Ace Earthman, is a registered financial advisor currently at NELSON SECURITIES,INC. located in Spokane, Washington. Arealous is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Arealous has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Ace Earthman
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures on record.
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.
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Years of Experience
40 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
NELSON INSURANCE AGENCY | WEALTH ASSET MANAGERS | NELSON SECURITIES,INC.
Contact Information
Main Address
7307 N. Division St. Suite 220, Spokane, WA 99208Mailing Address
7307 N. Division St. Suite 220, Spokane, WA 99208Phone Number
(509) 838-1313Established
Washington since 10/03/1983Firm Type
CorporationFiscal Year End
JuneFirm Size
Small# of Employees
15SEC notice filing (50 States and Territories)
Registered to provide investment advisory services in 50 US states and territories.
FINRA licenses (50 States and Territories)
Registered to provide investment advisory services in 50 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
2,006AUM (Assets Under Management)
$321,863,711Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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Primary Firm SEC Registration
NELSON INSURANCE AGENCY | WEALTH ASSET MANAGERS | NELSON SECURITIES,INC.
State Registrations and Notice Filings
(3/4/1997)
(2/14/1994)
(4/18/1994)
(3/4/1997)
(11/8/2002)
(3/28/1995)
(6/2/1992)
(3/6/1997)
(3/4/1997)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Arealous Clayton Earthman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Arealous Clayton Earthman's CRS (Customer Relationship Summary).
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