DN
Douglas M. Nelson
STONEX FINANCIAL
ALPHARETTA, GA 30009
Some features on this profile are disabled
CRD#: 1979906
DN
Professional summary
Douglas Marc Nelson, who also goes by Doug Nelson, is a registered financial professional currently at STONEX FINANCIAL INC. located in Alpharetta, Georgia.
Douglas is registered as a RR (Registered Representative) and started their career in finance in 1989. Douglas has worked at 11 firms and has passed the Series 65, Series 63, Series 57TO, Series 99TO, SIE, Series 3, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Doug Nelson
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Douglas Marc 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
November 6, 2018 - Present
STONEX FINANCIAL INC.
Office #1: 10000 Avalon Blvd, Suite 520, Alpharetta, GA 30009BD
CRD#: 45993
ALPHARETTA, GA
Past
August 9, 2017 - October 22, 2018
COWEN PRIME SERVICES LLC
BD
CRD#: 153397
Alpharetta, GA
Past
February 20, 2014 - December 31, 2017
COWEN EXECUTION SERVICES LLC
BD
CRD#: 35693
Alpharetta, GA
Past
June 8, 2006 - September 2, 2014
CONVERGEX PRIME SERVICES LLC
BD
CRD#: 140185
ALPHARETTA, GA
Past
September 5, 2005 - June 27, 2006
TETON INVESTMENT PARTNERS, LLC
BD
CRD#: 122569
ALPHARETTA, GA
Past
August 15, 2003 - September 1, 2005
AVIOR CAPITAL, LLC
BD
CRD#: 44732
SAN DIEGO, CA
Past
March 8, 1996 - August 15, 2003
NEOVEST TRADING
BD
CRD#: 39798
NEW YORK, NY
Past
May 5, 1995 - March 19, 1996
FIRST SOUTHEASTERN SECURITIES GROUP, INCORPORATED
BD
CRD#: 14538
TAMPA, FL
Past
September 16, 1991 - May 15, 1995
THE ROBINSON-HUMPHREY COMPANY, LLC
BD
CRD#: 723
ATLANTA, GA
Past
February 20, 1991 - September 20, 1991
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
September 16, 1989 - February 21, 1991
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(10/25/2019)
RR
Alaska(12/21/2022)
RR
Arizona(9/19/2019)
RR
Arkansas(12/13/2022)
RR
California(11/8/2018)
RR
Colorado(11/8/2018)
RR
Connecticut(9/19/2019)
RR
Delaware(12/22/2022)
RR
District of Columbia(12/22/2022)
RR
Florida(11/8/2018)
RR
Georgia(11/6/2018)
RR
Idaho(5/18/2022)
RR
Illinois(11/8/2018)
RR
Indiana(12/21/2022)
RR
Kansas(12/20/2022)
RR
Kentucky(11/8/2018)
RR
Louisiana(12/13/2022)
RR
Maryland(12/14/2022)
RR
Massachusetts(11/8/2018)
RR
Michigan(9/23/2019)
RR
Minnesota(12/21/2022)
RR
Mississippi(11/21/2018)
RR
Missouri(9/20/2019)
RR
Montana(4/26/2022)
RR
Nevada(11/8/2018)
RR
New Jersey(11/8/2018)
RR
New Mexico(12/14/2022)
RR
New York(11/8/2018)
RR
North Carolina(12/14/2022)
RR
Ohio(5/19/2022)
RR
Oklahoma(12/14/2022)
RR
Oregon(10/16/2019)
RR
Pennsylvania(11/8/2018)
RR
Puerto Rico(12/4/2024)
RR
Rhode Island(1/3/2023)
RR
South Carolina(11/8/2018)
RR
South Dakota(10/25/2019)
RR
Tennessee(11/8/2018)
RR
Texas(11/8/2018)
RR
Utah(11/8/2018)
RR
Virgin Islands(1/3/2023)
RR
Virginia(11/8/2018)
RR
Washington(11/8/2018)
RR
Wisconsin(3/2/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SF
STONEX FINANCIAL INC.
INTERNATIONAL TRADER ASSOCIATION, INC. | STONEX FINANCIAL INC. | STONEX | INTLTRADER.COM, INC. | INTL TRADING, INC. | INTL FCSTONE SECURITIES INC. | INTL FCSTONE FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
329 Park Avenue North Suite 350, Winter Park, FL 32789
Mailing Address
329 Park Avenue North Suite 350, Winter Park, FL 32789
Phone number
(407) 741-5300
Established
Florida since 05/29/1998
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR/CEO SECURITIES | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 76 |
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.
