Brian C. Nelson

JEMMA FINANCIAL SERVICES

Baltimore, MD 21286

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CRD#: 1609723

Professional summary

Brian Carl Nelson is a registered financial advisor currently at JEMMA FINANCIAL SERVICES located in Baltimore, Maryland and THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. located in Baltimore, Maryland.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Brian has worked at 10 firms and has passed the Series 66, Series 63, SIE, 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.

1) HARBORSIDE SALES GROUP, BALTIMORE, MD, INVESTMENT RELATED-PRIVATE LABEL SALES AND MARKETING SERVICES, START DATE 02/2004, FOUNDER AND PRESIDENT, OVERSEE ALL SALES AND MARKETING FUNCTIONS, 200 HOURS PER MONTH WITH 130 DURING SECURITIES TRADING HOURS. 2) JEMMA INVESTMENT ADVISORS, LLC, BALTIMORE, MD, INVESTMENT RELATED-RIA, STOCKHOLDER, START DATE 6/6/2016, PROVIDE STRATEGIC MARKETS AND OPERATIONS SUPPORT, 50 HOURS PER MONTH WITH 25 DURING SECURITIES TRADING HOURS. 3) CROMWELL INVESTMENT ADVISORS, LLC, INVESTMENT RELATED, ADVISOR TO MUTUAL FUNDS, BALTIMORE, MD, START DATE 05/01/2021, PRESIDENT, Cromwell Investment Advisors, LLC is the advisory entity to provide services to mutual funds/ETFs that will be in Total Fund Solution, a new series trust formed in conjunction with US Bank, 60 HRS/MO 4) Foreside Fund Services, LLC; Investment-Related; Baltimore, MD; Broker Dealer; Registered Representative; 10/2018; 68.5 hrs/mo; during securities trading hours; Duties are administrative and management in nature. FFS is for supervisory duties for Harborside. 5) Total Fund Solutions, Board Position; Treasurer. Does not have check writing ability, does not have control over investments. Provides Financial statements for the Board. Not investment related and not during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Carl Nelson's CRS (Customer Relationship Summary).

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

December 23, 2024 - Present

JEMMA FINANCIAL SERVICES

Office #1: 810 Gleneagles Court Suite 109, Baltimore, MD 21286

RIA

CRD#: 284198

Baltimore, MD

Current

July 25, 2022 - Present

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

Office #1: 810 Gleneagles Court Suite 106, Baltimore, MD 21286Office #2: 4251 Kipling Street Suite 580, Wheat Ridge, CO 80033Office #3: 9000 Keystone Crossing Suite 700, Indianapolis, IN 46240

CRD#: 20

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".

JEMMA FINANCIAL SERVICES

FOUNDRY WEALTH ADVISORS, LLC | JEMMA INVESTMENT ADVISORS LLC | JEMMA FINANCIAL SERVICES

CRD#: 284198 / SEC#: 801-126937

RIA

Registered Investment Advisory firm - (12/5/2022 Approved)

Colorado

Registered Investment Advisory firm - (12/31/2022 Terminated)

Connecticut

Registered Investment Advisory firm - (12/31/2019 Terminated)

Maine

Registered Investment Advisory firm - (12/20/2022 Terminated)

Maryland

Registered Investment Advisory firm - (12/18/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - (12/21/2022 Terminated)

Texas

Registered Investment Advisory firm - (12/19/2022 Terminated)

Washington

Registered Investment Advisory firm - (1/23/2023 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.

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

Alabama
(5/31/2023)

Alaska
(5/31/2023)

Arizona
(5/31/2023)

Arkansas
(5/31/2023)

California
(5/31/2023)

Colorado
(5/31/2023)

Connecticut
(5/31/2023)

Delaware
(7/25/2022)

District of Columbia
(7/25/2022)

Florida
(7/25/2022)

Georgia
(5/31/2023)

Hawaii
(5/31/2023)

Idaho
(5/31/2023)

Illinois
(5/31/2023)

Indiana
(5/31/2023)

Iowa
(5/31/2023)

Kansas
(5/31/2023)

Kentucky
(5/31/2023)

Louisiana
(5/31/2023)

Maine
(5/31/2023)

Maryland
(7/25/2022)

IAR

Maryland
(12/23/2024)

Massachusetts
(5/31/2023)

Michigan
(5/31/2023)

Minnesota
(5/31/2023)

Mississippi
(5/31/2023)

Missouri
(5/31/2023)

Montana
(5/31/2023)

Nebraska
(5/31/2023)

Nevada
(5/31/2023)

New Hampshire
(5/31/2023)

New Jersey
(7/25/2022)

New Mexico
(5/31/2023)

New York
(5/31/2023)

North Carolina
(5/31/2023)

North Dakota
(5/31/2023)

Ohio
(5/31/2023)

Oklahoma
(5/31/2023)

Oregon
(5/31/2023)

Pennsylvania
(7/25/2022)

Rhode Island
(5/31/2023)

South Carolina
(5/31/2023)

South Dakota
(5/31/2023)

Tennessee
(5/31/2023)

Texas
(5/31/2023)

Utah
(5/31/2023)

Vermont
(5/31/2023)

Virginia
(7/25/2022)

Washington
(5/31/2023)

West Virginia
(7/25/2022)

Wisconsin
(5/31/2023)

Wyoming
(5/31/2023)

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

State Security Law Exam

IAR

Series 66

Date: 1/23/2023

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/12/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/5/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/2/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/3/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

JEMMA FINANCIAL SERVICES

FOUNDRY WEALTH ADVISORS, LLC | JEMMA INVESTMENT ADVISORS LLC | JEMMA FINANCIAL SERVICES

CRD#: 284198 / SEC#: 801-126937

RIA

Registered Investment Advisory firm - (12/5/2022 Approved)

Colorado

Registered Investment Advisory firm - (12/31/2022 Terminated)

Connecticut

Registered Investment Advisory firm - (12/31/2019 Terminated)

Maine

Registered Investment Advisory firm - (12/20/2022 Terminated)

Maryland

Registered Investment Advisory firm - (12/18/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - (12/21/2022 Terminated)

Texas

Registered Investment Advisory firm - (12/19/2022 Terminated)

Washington

Registered Investment Advisory firm - (1/23/2023 Terminated)

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Contact information

Main Address

810 Gleneagles Court Suite 109, Baltimore, MD 21286

Mailing Address

Phone number

(855) 662-2121

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

JEMMA ADV PART 2A 2024 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	589
AUM (Assets Under Management)	$ 145,940,068

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.

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Advisor Monitoring

Firm Stability Insights

Brian C. Nelson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Carl Nelson's CRS (Customer Relationship Summary).

Certified licenses

Experience

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

FORESIDE FUND SERVICES, LLC

EULAV SECURITIES LLC

FORESIDE FUND SERVICES, LLC

FORESIDE FUND SERVICES, LLC

IMST DISTRIBUTORS, LLC

VANGUARD MARKETING CORPORATION

INCAP SECURITIES, INC.

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

ALEX. BROWN & SONS INCORPORATED

Primary Firm SEC Registration

JEMMA FINANCIAL SERVICES

State Registrations and Notice Filings

Exams

Series 66

Date: 1/23/2023

Series 63

Date: 4/12/1991

SIE

Date: 6/5/2018

Series 7

Date: 11/2/1990

Series 24

Date: 12/3/2001

FINRA

Current Firm

JEMMA FINANCIAL SERVICES

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JEMMA FINANCIAL SERVICES

TRUST BUT VERIFY

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