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Stephen C. Nelson
UNITED BROKERAGE SERVICES,
Manassas, VA 20110
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CRD#: 1632940
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Professional summary
Stephen Craig Nelson is a registered financial advisor currently at UNITED BROKERAGE SERVICES, INC located in Manassas, Virginia.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Stephen has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 27 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.
OWNER OF RENTAL REAL ESTATE. MANASSAS, VA. STARTED:03/2016. INVESTMENT RELATED. 4 HRS PER MONTH, 0 DURING TRADING HRS. OWN A SMALL COMMMERCIAL BLDG.
Novant Health Hospital, Manassas VA, Board Member on Board of Trustees, Start Date Jan 2017, 5 Hr/Mth, No Compensation, Not Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Craig Nelson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Craig 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
May 2, 2017 - Present
UNITED BROKERAGE SERVICES, INC
Office #1: 9626 Center Street, Manassas, VA 20110Office #2: 13870 Smoketown Road, Woodbridge, VA 22192Office #3: 17054 Jefferson Davis Hwy, Dumfries, VA 22026Office #4: 289 Garrisonville Road, Stafford, VA 22554RIA
BD
CRD#: 39062
Manassas, VA
Current
May 1, 2017 - Present
UNITED BROKERAGE SERVICES, INC
Office #1: 9626 Center Street, Manassas, VA 20110Office #2: 13870 Smoketown Road, Woodbridge, VA 22192Office #3: 17054 Jefferson Davis Hwy, Dumfries, VA 22026Office #4: 289 Garrisonville Road, Stafford, VA 22554RIA
BD
CRD#: 39062
Manassas, VA
Past
April 13, 2016 - May 3, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
VIENNA, VA
Past
March 1, 2016 - May 3, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
VIENNA, VA
Past
April 1, 2011 - May 1, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
MCLEAN, VA
Past
July 12, 2007 - December 31, 2010
FINANCIAL WEST GROUP
BD
CRD#: 16668
MANASSAS, VA
Past
January 4, 1997 - July 13, 2007
BROOKSTREET SECURITIES CORPORATION
BD
CRD#: 14667
MANASSAS, VA
Past
December 10, 1996 - January 7, 1997
IFG NETWORK SECURITIES, INC.
BD
CRD#: 19948
ATLANTA, GA
Past
October 23, 1996 - December 11, 1996
BUCKHEAD FINANCIAL CORPORATION
BD
CRD#: 18398
Past
October 23, 1995 - October 24, 1996
GLOBALCOMM SECURITIES, INC.
BD
CRD#: 13228
Past
July 2, 1987 - May 16, 1988
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
March 12, 1987 - October 17, 1995
STONEX SECURITIES INC.
BD
CRD#: 18456
BIRMINGHAM, AL
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".
UB
UNITED BROKERAGE SERVICES, INC
UNITED BROKERAGE SERVICES INC | UNITED INSURANCE & BROKERAGE SERVICES | UNITED BROKERAGE SERVICES, INC
CRD#: 39062 / SEC#: 801-80804, 8-48685
RIA
Registered Investment Advisory firm - SEC (1/9/2015 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Kentucky
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/26/2015 Terminated)New Jersey
Registered Investment Advisory firm - SEC (1/30/2015 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (1/22/2015 Terminated)Texas
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Virginia
Registered Investment Advisory firm - SEC (1/21/2015 Terminated)West Virginia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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
Arizona(4/22/2021)
RR
California(5/2/2017)
RR
Delaware(5/2/2017)
RR
District of Columbia(5/2/2017)
IAR
District of Columbia(5/12/2017)
RR
Florida(5/2/2017)
IAR
Florida(4/2/2019)
RR
Maryland(5/2/2017)
IAR
Maryland(5/2/2017)
RR
Montana(6/15/2022)
RR
Nevada(8/4/2022)
RR
New Mexico(5/2/2017)
RR
New York(5/2/2017)
RR
North Carolina(5/2/2017)
RR
Ohio(5/15/2023)
RR
South Carolina(2/18/2025)
IAR
South Carolina(2/21/2025)
RR
Texas(5/2/2017)
RR
Virginia(5/1/2017)
IAR
Virginia(5/3/2017)
RR
West Virginia(5/2/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UB
UNITED BROKERAGE SERVICES, INC
UNITED BROKERAGE SERVICES INC | UNITED INSURANCE & BROKERAGE SERVICES | UNITED BROKERAGE SERVICES, INC
CRD#: 39062 / SEC#: 801-80804, 8-48685
RIA
Registered Investment Advisory firm - SEC (1/9/2015 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Kentucky
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/26/2015 Terminated)New Jersey
Registered Investment Advisory firm - SEC (1/30/2015 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (1/22/2015 Terminated)Texas
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Virginia
Registered Investment Advisory firm - SEC (1/21/2015 Terminated)West Virginia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
514 Market Street, Parkersburg, WV 26101
Mailing Address
P. O. Box 1508, Parkersburg, WV 26102-1508
Phone number
(888) 424-6158
Established
West Virginia since 04/24/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
101
SEC notice filing (17 States and Territories)
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UNITED ASSET MANAGEMENT CORP. | OWNER | |
| ADAMS, RICHARD MATTHEW JR | CHAIRMAN OF THE BOARD/DIRECTOR | 2656091 |
| BOARD, ANGIE MARIE | FINOP | 6464533 |
| EARL, MICHEAL LEN | CHIEF COMPLIANCE OFFICER | 4266715 |
| GURTIS, JULIE RITCHIE | DIRECTOR | |
| HUMPHREY, MATTHEW LEE | CHIEF EXECUTIVE OFFICER/DIRECTOR | 5943475 |
| MOCK, DONALD FREDERICK | DIRECTOR | 5059205 |
| MUDLAFF, THOMAS JAMES | CHIEF OPERATIONS OFFICER | 2359466 |
| REYNOLDS, FRANK KEVIN | DIRECTOR | 5731814 |
| SHAVER, AMI LEE | DIRECTOR | 2771684 |
Regulatory assets under management
| Total Number of Accounts | 1,889 |
| AUM (Assets Under Management) | $ 389,130,559 |
Disclosures
| Bond | 1 |
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.
