MN
Michael G. Nelson
LPL ENTERPRISE
MAPLE GROVE, MN
Some features on this profile are disabled
CRD#: 2074557
MN
Professional summary
Michael Gene Nelson, who also goes by Mike Nelson, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Maple Grove, Minnesota.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Michael has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24, Series 51 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike 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.
Atokad NED Ranch~RR West of Town, Washburn, ND 58577~Farm~N~Owner~01/2008~0 hrs/mo~0 trading hrs/mo|Stacey Nelson Revocable Trust~6282 Quantico Lane N, Maple Grove, MN 55311~Trust~Y~Co-Trustee with wife - Immediate Family trust.~08/01/2017~0 hrs/mo~0 trading hrs/mo|Power of Attorney for spouse~6282 Quantico Lane N, Maple Grove, MN 55311~Power of Attorney~N~POA for spouse~08/01/2017~0 hrs/mo~0 trading hrs/mo|Michael G. Nelson Revocable Trust~6282 Quantico Lane N, Maple Grove, MN 55311~Trust~Y~Co-Trustee with spouse - Immediate family trust.~08/01/2017~0 hrs/mo~0 trading hrs/mo OCEANVIEW INSURANCE/ANNUITY COMPANY POSITION: independent contractor NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/03/2021 ADDRESS: 410 norht 44th st ste 210, phoenix AZ 85008, United States DESCRIPTION: sell and service 1 fixed annuity as an exception since it is a 2 year MYGA contract which we don't offer through the approved carriers OCEANVIEW LIFE AND ANNUITY COMPANY POSITION: independent contractor NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 02/04/2022 ADDRESS: 410 n 44th St. Ste 210, Phoenix AZ 85008, United States DESCRIPTION: one time exception for a fixed annuity direct appointment to oceanview.... EXECUTOR OF CINDY EDWARDSON AND KEVIN EDWARDSON ESTATE AT THEIR PASSING -- SISTER IN LAW AND BROTHER IN LAW POSITION: executor of sister in law and brother in laws estate NATURE: Fiduciary Appointment (e.g., Trustee, Executor, POA) INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/28/2024 ADDRESS: 6282 Quantico lane N, maple grove MN 55311, United States DESCRIPTION: help to process their belongings at their passing
CRS (Client Relationship Summary) - RIA
Click below to view Michael Gene Nelson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Gene 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 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #2: 600 S Highway 169 Suite 1000, St. Louis Park, MN 55426-0134RIA
BD
CRD#: 8733
MAPLE GROVE, MN
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 600 S Highway 169 Suite 1000, St. Louis Park, MN 55426-0134RIA
BD
CRD#: 8733
ST. LOUIS PARK, MN
Past
March 4, 2013 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
ST. LOUIS PARK, MN
Past
July 16, 1990 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
July 16, 1990 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
ST. LOUIS PARK, MN
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta 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
Alabama(12/6/2024)
RR
Alaska(11/14/2024)
RR
Arizona(11/14/2024)
RR
Arkansas(11/14/2024)
IAR
Arkansas(11/14/2024)
RR
California(11/14/2024)
RR
Colorado(11/14/2024)
RR
Connecticut(12/6/2024)
RR
Florida(11/15/2024)
RR
Georgia(11/14/2024)
RR
Idaho(11/14/2024)
RR
Illinois(11/14/2024)
RR
Iowa(11/14/2024)
IAR
Iowa(11/14/2024)
RR
Kansas(11/14/2024)
RR
Kentucky(11/14/2024)
RR
Louisiana(11/14/2024)
RR
Maine(11/14/2024)
RR
Massachusetts(11/14/2024)
RR
Michigan(12/6/2024)
RR
Minnesota(11/14/2024)
IAR
Minnesota(11/14/2024)
RR
Mississippi(11/14/2024)
RR
Missouri(11/14/2024)
RR
Montana(11/14/2024)
RR
Nebraska(11/14/2024)
RR
New Mexico(11/14/2024)
RR
New York(11/14/2024)
RR
North Carolina(11/14/2024)
RR
North Dakota(11/14/2024)
RR
Ohio(12/9/2024)
RR
Oklahoma(11/14/2024)
RR
Oregon(11/14/2024)
RR
Pennsylvania(11/14/2024)
RR
South Dakota(11/14/2024)
RR
Texas(11/14/2024)
IAR
Texas(11/14/2024)
RR
Utah(11/14/2024)
RR
Virginia(11/14/2024)
RR
Washington(6/30/2025)
RR
West Virginia(11/14/2024)
RR
Wisconsin(11/14/2024)
IAR
Wisconsin(11/14/2024)
RR
Wyoming(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
