Andrew E. Nelson

PT ASSET MANAGEMENT

Melrose, MA

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CRD#: 2260419

Professional summary

Andrew Eugene Nelson is a registered financial advisor currently at PT ASSET MANAGEMENT, LLC located in Melrose, Massachusetts and ALPS DISTRIBUTORS, INC. located in Chicago, Illinois.

Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Andrew has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.

PT Asset Management; Investment-Related; 500 W Madison St #500 Chicago, IL 60661; Asset Management; Fixed Income Director; 10/01/2018; 160 HRS/MON; 130 HRS/MON During Trading Hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Eugene Nelson's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 15, 2018 - Present

PT ASSET MANAGEMENT, LLC

RIA

CRD#: 107619

Melrose, MA

Current

February 4, 2025 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 500 W. Madison Street Suite 500, Chicago, IL 60661

CRD#: 16853

Chicago, IL

Past

October 15, 2018 - January 31, 2025

PERFORMANCE TRUST CAPITAL PARTNERS, LLC

CRD#: 36155

CHICAGO, IL

Past

July 24, 2018 - October 19, 2018

DESTRA CAPITAL ADVISORS LLC

RIA

CRD#: 148574

MELROSE, MA

Past

August 10, 2017 - October 19, 2018

DESTRA CAPITAL INVESTMENTS LLC

CRD#: 148299

BOZEMAN, MT

Past

May 28, 2003 - January 4, 2017

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

April 17, 2002 - May 6, 2003

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

BOSTON, MA

Past

December 17, 1992 - April 1, 2002

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

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".

PT ASSET MANAGEMENT, LLC

CRD#: 107619 / SEC#: 801-46031

RIA

Registered Investment Advisory firm - (3/11/1994 Approved)

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.

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

Connecticut
(2/4/2025)

IAR

Illinois
(10/15/2018)

Maine
(2/4/2025)

Maryland
(2/4/2025)

New Hampshire
(2/4/2025)

New York
(2/4/2025)

Rhode Island
(2/4/2025)

Vermont
(2/4/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/25/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/3/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/19/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/15/1992

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

PT ASSET MANAGEMENT, LLC

CRD#: 107619 / SEC#: 801-46031

RIA

Registered Investment Advisory firm - (3/11/1994 Approved)

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Contact information

Main Address

500 W. Madison Street Suite 500, Chicago, IL 60661

Mailing Address

Phone number

(312) 521-1000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PTAM - FORM ADV PART 2 - MARCH 2023 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	6
AUM (Assets Under Management)	$ 9,587,215,582

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Andrew E. Nelson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Eugene Nelson's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPS DISTRIBUTORS, INC.

PERFORMANCE TRUST CAPITAL PARTNERS, LLC

DESTRA CAPITAL ADVISORS LLC

DESTRA CAPITAL INVESTMENTS LLC

DWS DISTRIBUTORS, INC.

AMUNDI DISTRIBUTOR US, INC.

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

Primary Firm SEC Registration

PT ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/25/2018

Series 63

Date: 9/3/1992

SIE

Date: 10/1/2018

Series 7

Date: 12/19/2006

Series 6

Date: 12/15/1992

FINRA

Current Firm

PT ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PT ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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