Buddy K. 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.
Buddy Kenton Nelson, who also goes by Buddy Scott Nelson, Buddy Nelson, Scott Kenton Nelson, Scott Nelson, was a registered financial professional .
Buddy is a previously registered financial professional and started their career in finance in 1994. Buddy had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 3, Series 24, Series 10, Series 9 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2014 - September 25, 2015
NATIONAL FINANCIAL SERVICES LLC
September 25, 2014 - September 25, 2015
FIDELITY BROKERAGE SERVICES LLC
December 17, 2013 - March 19, 2014
VALIC FINANCIAL ADVISORS, INC.
December 17, 2013 - March 19, 2014
VALIC FINANCIAL ADVISORS, INC.
January 27, 2012 - January 10, 2013
FORTITUDE ADVISORY GROUP L.L.C.
January 27, 2012 - January 10, 2013
ARGENTUS SECURITIES, LLC
July 11, 2007 - September 22, 2011
TD AMERITRADE, INC.
July 11, 2007 - September 22, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 22, 2006 - September 22, 2011
TD AMERITRADE, INC.
March 1, 2006 - April 22, 2006
TD AMERITRADE CLEARING, INC.
April 14, 1999 - January 26, 2006
BROWNCO, LLC
December 10, 1996 - March 29, 1999
BROWNCO, LLC
August 12, 1996 - November 8, 1996
SCOTTRADE, INC.
December 1, 1995 - March 8, 1996
GRUNTAL & CO., L.L.C.
November 17, 1994 - January 3, 1995
JOSEPH CHARLES & ASSOC., INC.
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
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
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.
