Robert G. 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.
Robert Gary Nelson, who also goes by Robert G Nelson, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1999. Robert had worked at 7 firms and has passed the Series 63 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2004 - November 2, 2004
J.P. TURNER & COMPANY, L.L.C.
September 30, 2004 - October 6, 2004
WINDSOR STREET CAPITAL, LP
November 24, 2003 - September 10, 2004
FIRST HUDSON FINANCIAL GROUP, INC.
March 13, 2003 - November 21, 2003
GUNNALLEN FINANCIAL, INC
October 28, 2002 - December 20, 2002
WINDSOR STREET CAPITAL, LP
August 28, 2002 - October 29, 2002
JOSEPH STEVENS & CO., INC.
June 19, 2001 - August 23, 2002
NATIONAL SECURITIES CORPORATION
July 24, 2000 - June 19, 2001
WINDSOR STREET CAPITAL, LP
April 13, 1999 - July 24, 2000
LCP CAPITAL CORP.
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 62
Date: 4/12/1999
Corporate Securities Limited Representative ExaminationCurrent Firm
J.P. TURNER & COMPANY, L.L.C.
CRD#: 43177 / SEC#: , 8-50156
Contact information
Documents
Disclosures
| Regulatory Event | 30 |
| Arbitration | 12 |
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.
