Mark A. 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.
Mark Allen Nelson was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1988. Mark had worked at 15 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2010 - January 11, 2013
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
July 7, 2009 - September 21, 2009
TANDEM SECURITIES, INC.
April 17, 2009 - December 31, 2009
NELSON WEALTH COACHING
November 20, 2002 - February 18, 2009
KESTRA INVESTMENT SERVICES, LLC
November 1, 2002 - February 18, 2009
KESTRA INVESTMENT SERVICES, LLC
December 31, 2001 - November 1, 2002
LEGACY ADVISORY SERVICES, INC.
March 30, 1999 - November 1, 2002
LEGACY FINANCIAL SERVICES, INC.
April 11, 1997 - March 25, 1999
LONDON PACIFIC SECURITIES, INC.
November 1, 1996 - May 1, 1997
SECURIAN FINANCIAL SERVICES, INC.
November 14, 1995 - November 6, 1996
HORNOR, TOWNSEND & KENT, LLC
March 8, 1995 - November 14, 1995
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 4, 1994 - March 6, 1995
NYLIFE SECURITIES LLC
April 8, 1994 - October 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 30, 1992 - April 22, 1994
METROPOLITAN LIFE INSURANCE COMPANY
July 30, 1992 - April 22, 1994
MSI FINANCIAL SERVICES, INC.
December 6, 1990 - July 7, 1992
WOODBURY FINANCIAL SERVICES, INC.
May 20, 1988 - December 6, 1990
THE COLUMBIAN SECURITIES CORPORATION
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
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
CRD#: 132070 / SEC#: 801-63282
Contact information
Red Flags
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