Richard J. Nelson
Professional summary
Richard John Nelson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Richard had worked at 9 firms, which includes CHARLES MORGAN SECURITIES INC., BROOKVILLE CAPITAL PARTNERS, OBSIDIAN FINANCIAL GROUP LLC, NWT FINANCIAL GROUP LLC, WINDSOR STREET CAPITAL LP, GREAT EASTERN SECURITIES INC., NATIONAL SECURITIES CORPORATION, MORGAN STANLEY DW INC., LCP CAPITAL CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2011 - January 24, 2012
CHARLES MORGAN SECURITIES, INC.
August 25, 2011 - October 10, 2011
BROOKVILLE CAPITAL PARTNERS
October 29, 2010 - September 16, 2011
OBSIDIAN FINANCIAL GROUP, LLC
September 8, 2010 - November 1, 2010
NWT FINANCIAL GROUP, LLC
January 3, 2007 - August 18, 2010
WINDSOR STREET CAPITAL, LP
August 10, 2005 - January 16, 2007
GREAT EASTERN SECURITIES, INC.
June 19, 2001 - August 1, 2005
NATIONAL SECURITIES CORPORATION
January 30, 2001 - June 19, 2001
WINDSOR STREET CAPITAL, LP
January 18, 2000 - January 30, 2001
MORGAN STANLEY DW INC.
April 8, 1999 - January 5, 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
Current Firm
CHARLES MORGAN SECURITIES, INC.
CRD#: 138887 / SEC#: , 8-67181
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
