Brian C. Nelson
Professional summary
Brian Carl Nelson, who also goes by Brian C Nelson, Brian Nelson, Brian Carl Nelsonj, is a registered financial advisor currently at FROST INVESTMENT SERVICES located in Fort Worth, Texas and FROST BROKERAGE SERVICES, INC. located in Fort Worth, Texas.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Brian has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Brian Carl Nelson's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 26, 2022 - Present
FROST INVESTMENT SERVICES
Office #1: 640 Taylor St Ste 1000, Fort Worth, TX 76102March 9, 2018 - Present
FROST BROKERAGE SERVICES, INC.
Office #1: 640 Taylor St Ste 1000, Fort Worth, TX 76102March 9, 2018 - December 31, 2021
FROST INVESTMENT SERVICES
December 15, 2015 - March 1, 2018
FIRST COMMAND ADVISORY SERVICES
January 18, 2013 - December 15, 2015
FIRST COMMAND BROKERAGE SERVICES, INC.
January 18, 2013 - March 1, 2018
FIRST COMMAND BROKERAGE SERVICES, INC.
May 4, 2011 - June 22, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 4, 2011 - June 22, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 3, 2011 - March 25, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - March 25, 2011
WELLS FARGO CLEARING SERVICES, LLC
October 19, 2005 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
October 12, 2005 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
March 19, 2001 - May 2, 2001
WELLS FARGO SECURITIES INC.
February 28, 2001 - February 3, 2005
WELLS FARGO INVESTMENTS, LLC
February 28, 2001 - February 3, 2005
WELLS FARGO INVESTMENTS, LLC
February 4, 1999 - February 15, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 7, 1997 - September 23, 1998
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/27/2018)
(1/11/2024)
(10/19/2018)
(1/11/2024)
(11/12/2025)
(4/19/2024)
(11/6/2023)
(11/6/2023)
(10/19/2018)
(10/19/2018)
(10/19/2018)
(11/25/2022)
(10/19/2018)
(3/9/2018)
(1/26/2022)
(3/2/2022)
(1/11/2024)
(7/6/2022)
(1/11/2024)
Exams
FINRA
Current Firm
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,179 |
| AUM (Assets Under Management) | $ 2,976,654,932 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2024 | ||
| 11/27/2023 | ||
| 12/21/2022 |
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.
