Douglas L. 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.
Douglas Lee Nelson MR., who also goes by Douglas Nelson, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1995. Douglas had worked at 3 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2008 - April 2, 2026
TCI WEALTH ADVISORS, INC.
January 21, 2004 - April 30, 2008
AQN ADVISORS INC
June 27, 1995 - March 27, 2009
ASHLEY QUINN, CPAS AND CONSULTANTS, LTD.
Primary Firm SEC Registration
TCI WEALTH ADVISORS, INC.
CRD#: 107373 / SEC#: 801-37083
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
TCI WEALTH ADVISORS, INC.
CRD#: 107373 / SEC#: 801-37083
Contact information
SEC notice filing (38 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,863 |
| AUM (Assets Under Management) | $ 5,368,062,519 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/08/2025 | ||
| 08/23/2024 | ||
| 10/30/2023 |
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.
