Nelson R. Lively
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.
Nelson Ray Lively was a registered financial professional .
Nelson is a previously registered financial professional and started their career in finance in 1988. Nelson had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2016 - April 6, 2016
ALLSTATE FINANCIAL SERVICES, LLC
February 17, 2014 - November 3, 2015
EAGLE LEDGE CAPITAL, LLC
January 30, 2012 - December 4, 2012
NATALLIANCE SECURITIES, LLC
August 5, 2009 - February 17, 2010
CND FINANCIAL LTD.
April 21, 2005 - July 27, 2009
STRONGTOWER FINANCIAL, INC.
January 22, 2004 - April 6, 2005
COMMONWEALTH CHURCH FINANCE, INC.
March 5, 2002 - November 14, 2002
COMMONWEALTH CHURCH FINANCE, INC.
November 4, 1999 - January 3, 2001
GREAT NATION INVESTMENT CORPORATION
February 9, 1999 - November 17, 1999
ALANAR INCORPORATED
May 12, 1998 - January 12, 1999
GREAT NATION INVESTMENT CORPORATION
April 22, 1997 - March 19, 1998
CRISPIN KOEHLER SECURITIES
March 5, 1991 - March 25, 1997
A. B. CULBERTSON AND COMPANY
September 29, 1989 - August 20, 1990
A. G. EDWARDS & SONS, INC.
July 20, 1988 - October 4, 1989
EDWARD JONES
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
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 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.
