JN
John R. Nelson
WEALTHSPIRE RETIREMENT ADVISORY
Santa Barbara, CA 93101
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CRD#: 2584314
JN
Professional summary
John Raymond Nelson, who also goes by John Raymond Nelson III, is a registered financial advisor currently at WEALTHSPIRE RETIREMENT ADVISORY located in Santa Barbara, California.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. John has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Raymond Nelson Iii
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.
Business Name: Youth & Family Services YMCA Investment Related: No Address: 105 E Carrillo Street Santa Barbara CA 93101 Nature of Business: Community/Charitable/Civic; Other Other/None of the Above Programs for at risk youth. Position, Title or Relationship: Director Start Date: 2/1/2012 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Provide business oversight for organizations management. Assist in fundraising from community.
CRS (Client Relationship Summary) - RIA
Click below to view John Raymond Nelson'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
March 26, 2015 - Present
WEALTHSPIRE RETIREMENT ADVISORY
Office #1: 25 East Anapamu Street Second Floor, Santa Barbara, CA 93101RIA
CRD#: 121254
Santa Barbara, CA
Past
March 27, 2015 - April 2, 2018
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
SANTA BARBARA, CA
Past
August 29, 2013 - April 15, 2015
INDEPENDENT FINANCIAL PARTNERS
RIA
CRD#: 125112
SANTA BARBARA, CA
Past
August 28, 2013 - April 14, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
SANTA BARBARA, CA
Past
April 19, 2012 - March 4, 2013
HUB INTERNATIONAL INVESTMENT SERVICES INC.
RIA
CRD#: 150252
SANTA BARBARA, CA
Past
January 7, 2010 - March 4, 2013
HUB INTERNATIONAL INVESTMENT SERVICES INC.
BD
CRD#: 150252
SANTA BARBARA, CA
Past
August 8, 2005 - August 28, 2013
FINANCIAL TELESIS INC
RIA
CRD#: 31012
SANTA BARBARA, CA
Past
May 2, 2005 - August 28, 2013
FINANCIAL TELESIS INC
BD
CRD#: 31012
SANTA BARBARA, CA
Past
March 15, 2002 - May 2, 2005
BRECEK & YOUNG ADVISORS, INC.
BD
CRD#: 40395
FOLSOM, CA
Past
May 9, 2000 - August 15, 2001
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
ANN ARBOR, MI
Past
April 18, 1995 - July 16, 1998
PLANMEMBER SECURITIES CORPORATION
BD
CRD#: 11869
CARPINTERIA, CA
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".
WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.
CRD#: 121254 / SEC#: 801-66107
RIA
Registered Investment Advisory firm - (1/31/2006 Approved)California
Registered Investment Advisory firm - (2/9/2006 Terminated)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.Highlighted states indicate IAR registrations
IAR
California(3/26/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.
CRD#: 121254 / SEC#: 801-66107
RIA
Registered Investment Advisory firm - (1/31/2006 Approved)California
Registered Investment Advisory firm - (2/9/2006 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
120 Vantis Suite 400, Aliso Viejo, CA 92656
Mailing Address
Phone number
(949) 460-9898
Established
Firm type
Fiscal year end
# of Employees
240
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 9,394 |
| AUM (Assets Under Management) | $ 118,031,461,765 |
Red Flags
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Company Information
WEALTHSPIRE RETIREMENT ADVISORY
CRD#: 121254Santa Barbara, CA 93101TRUST BUT VERIFY
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