Robert D. Nelson
Professional summary
Robert Duncan Nelson, who also goes by Robert Duncan Nelson III, Robert Nelson, Skinny Nelson, is a registered financial professional currently at GTS SECURITIES LLC located in New York, New York.
Robert is registered as a RR (Registered Representative) and started their career in finance in 2000. Robert has worked at 6 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 21, Series 7, Series 25, Series 14, Series 24 and Series 14A exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Duncan Nelson's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 22, 2016 - Present
GTS SECURITIES LLC
Office #1: 625 Avenue Of Americas 3rd Floor, New York, NY 10011April 11, 2023 - December 31, 2023
CLEARLIST SECURITIES LLC
April 11, 2023 - December 31, 2023
CLEARLIST LLC
March 23, 2009 - April 27, 2016
BARCLAYS CAPITAL INC.
January 2, 2001 - March 25, 2009
BEAR WAGNER SPECIALISTS LLC
October 1, 2000 - January 2, 2001
HUNTER SPECIALISTS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/20/2010
Limited Representative-Equity Trader ExamSeries 21
Date: 11/21/2000
NYSE Front Line Specialist ClerkSeries 25
Date: 4/22/1999
NYSE Trading Assistant ExaminationSeries 14A
Date: 2/22/2006
Compliance Official Specialist ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
MEMX LLC
MIAX PEARL, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
GTS SECURITIES LLC
CRD#: 149224 / SEC#: , 8-68126
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GTS FINANCIAL LLC | HOLDING COMPANY/CLASS A MEMBER | |
| GILLETTE, CHARLES P | TRADING AND MARKETS CHIEF COMPLIANCE OFFICER | 3174027 |
| NAZEM, DARIUSH | CHIEF OPERATING OFFICER | 4930821 |
| ROMANELLO, PATRICK JOSEPH | CORE BROKER DEALER CHIEF COMPLIANCE OFFICER | 5378090 |
| RUBENSTEIN, ARI M | CO-FOUNDER AND CHIEF EXECUTIVE OFFICER | 4134798 |
| TIRIOLO, CHRISTIAN JOHN | FINOP, CHIEF FINANCIAL OFFICER, CHIEF OPERATIONS OFFICER | 3063877 |
Disclosures
| Regulatory Event | 38 |
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.
