Harry H. 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.
Harry Hamilton Nelson, CIMA®, who also goes by Harry Hamilton Nelson II, was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1991. Harry had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2021 - June 5, 2023
FORESIDE FUND SERVICES, LLC
May 1, 2017 - October 29, 2021
NORTHERN LIGHTS DISTRIBUTORS, LLC
September 26, 2013 - December 2, 2016
GUIDESTONE FINANCIAL SERVICES
May 23, 2007 - August 26, 2013
GOLDEN CAPITAL MANAGEMENT, LLC
January 3, 2006 - June 30, 2010
FORESIDE FUND SERVICES, LLC
April 1, 2004 - August 31, 2005
CHARLES SCHWAB & CO., INC.
October 1, 2000 - February 28, 2003
WELLS FARGO CLEARING SERVICES, LLC
August 13, 1998 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
September 10, 1993 - August 23, 1996
CHARLES SCHWAB & CO., INC.
March 19, 1992 - September 16, 1993
TD AMERITRADE, INC.
September 23, 1991 - March 6, 1992
IDS LIFE INSURANCE COMPANY
September 23, 1991 - March 6, 1992
AMERIPRISE FINANCIAL SERVICES, 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
Series 8
Date: 5/6/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
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.
