RN
Robert O. Nelson
NELSON SECURITIES,INC.
Spokane, WA 99218
Some features on this profile are disabled
CRD#: 2245236
RN
Professional summary
Robert Owen Nelson JR is a registered financial advisor currently at NELSON SECURITIES,INC. located in Spokane, Washington.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Robert has worked at 1 firm and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) - RIA
Click below to view Robert Owen Nelson JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Owen Nelson JR'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
May 29, 2003 - Present
NELSON SECURITIES,INC.
Office #1: 9718 N Morton Ct, Spokane, WA 99218RIA
BD
CRD#: 14377
Spokane, WA
Current
August 24, 1992 - Present
NELSON SECURITIES,INC.
Office #1: 9718 N Morton Ct, Spokane, WA 99218RIA
BD
CRD#: 14377
Spokane, WA
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".
NS
NELSON SECURITIES,INC.
NELSON INSURANCE AGENCY | WEALTH ASSET MANAGERS | NELSON SECURITIES,INC.
CRD#: 14377 / SEC#: 801-41346, 8-30576
RIA
Registered Investment Advisory firm - SEC (5/7/1992 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver 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
California(2/10/1994)
IAR
California(5/29/2003)
RR
Colorado(3/28/1995)
RR
Florida(3/12/1993)
RR
Minnesota(7/11/1996)
RR
Ohio(3/12/1993)
RR
Texas(3/17/1993)
RR
Washington(3/11/1993)
IAR
Washington(4/11/2022)
RR
West Virginia(5/21/1996)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NS
NELSON SECURITIES,INC.
NELSON INSURANCE AGENCY | WEALTH ASSET MANAGERS | NELSON SECURITIES,INC.
CRD#: 14377 / SEC#: 801-41346, 8-30576
RIA
Registered Investment Advisory firm - SEC (5/7/1992 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
9718 N Morton Ct, Spokane, WA 99218
Mailing Address
9718 N Morton Ct, Spokane, WA 99218
Phone number
(509) 838-1313
Established
Washington since 10/03/1983
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
15
SEC notice filing (50 States and Territories)
FINRA licenses (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,026 |
| AUM (Assets Under Management) | $ 271,967,129 |
Disclosures
| Regulatory Event | 1 |
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.
