David E. Nelson
Professional summary
David Edward Nelson, who also goes by David Nelson, is a registered financial advisor currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.
David is registered as a RR (Registered Representative) and started their career in finance in 1995. David has worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Edward Nelson's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 24, 2023 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901July 17, 2020 - December 21, 2021
SECURITIES AMERICA, INC.
January 7, 2016 - July 17, 2020
INVESTACORP, INC.
May 22, 2012 - December 31, 2015
KESTRA INVESTMENT SERVICES, LLC
March 22, 2010 - March 7, 2012
THE LEADERS GROUP, INC.
January 9, 2009 - March 3, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
March 16, 2007 - April 23, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 14, 1995 - April 23, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/24/2023)
Exams
FINRA
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
