Nelson G. Powers
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 Gatch Powers was a registered financial advisor .
Nelson is a previously registered financial advisor and started their career in finance in 1991. Nelson had worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 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
October 20, 2006 - July 21, 2015
INVESTORS CAPITAL CORP.
July 14, 2006 - July 21, 2015
INVESTORS CAPITAL CORP.
November 6, 1998 - July 17, 2006
LEGACY FINANCIAL SERVICES, INC.
November 3, 1995 - October 5, 1998
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 14, 1992 - October 6, 1995
1717 CAPITAL MANAGEMENT COMPANY
February 22, 1991 - November 4, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
February 22, 1991 - November 4, 1992
PRUCO SECURITIES, LLC.
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
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
