Mark J. 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.
Mark James Nelson, who also goes by Mark J Nelson, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1991. Mark had worked at 16 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2004 - December 31, 2019
NELSON INVESTMENT COMPANY
September 29, 2004 - July 3, 2007
TERRA NOVA FINANCIAL, LLC
June 23, 2003 - September 22, 2004
VANGUARD CAPITAL
July 25, 2002 - July 9, 2003
A. G. EDWARDS & SONS, INC.
December 4, 2000 - July 9, 2003
A. G. EDWARDS & SONS, INC.
January 24, 2000 - December 11, 2000
MORGAN STANLEY DW INC.
August 26, 1998 - November 19, 1999
SUNPOINT SECURITIES, INC.
July 24, 1998 - August 21, 1998
NATIONAL SECURITIES CORPORATION
January 10, 1997 - July 24, 1998
THE BOSTON GROUP
October 24, 1996 - December 12, 1996
JOSEPH CHARLES & ASSOC., INC.
March 22, 1996 - July 3, 1996
JOSEPH CHARLES & ASSOC., INC.
November 10, 1995 - March 14, 1996
H.J. MEYERS & CO., INC.
June 7, 1995 - October 31, 1995
THE BOSTON GROUP
September 9, 1994 - May 24, 1995
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - September 7, 1994
CITIGROUP GLOBAL MARKETS INC.
April 7, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
November 12, 1992 - January 25, 1993
LEHMAN BROTHERS INC.
March 26, 1992 - October 27, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 18, 1991 - February 5, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 18, 1991 - February 5, 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
NELSON INVESTMENT COMPANY
CRD#: 134462 / SEC#:
Contact information
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.
