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WN

William D. Nelson

Some features on this profile are disabled
CRD#: 2734324
WN

Professional summary

William David Nelson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

William is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, William had worked at 12 firms, which includes WINDSOR STREET CAPITAL LP, BISHOP ROSEN & CO. INC., VALLEY FORGE SECURITIES INC ., PARKER FINANCIAL CORP., PRESTON LANGLEY ASSET MANAGEMENT INC., LH ROSS & COMPANY INC., WIN CAPITAL CORP., BARRON CHASE SECURITIES INC., THREE ARROWS CAPITAL CORP., GLOBAL EQUITIES GROUP INC, MEYERS POLLOCK ROBBINS INC., HUNTER WORLD MARKETS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Billy Nelson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 7, 2004 - October 31, 2016

WINDSOR STREET CAPITAL, LP

BD
CRD#: 34171
NEW YORK, NY
Past

January 17, 2002 - April 21, 2004

BISHOP, ROSEN & CO., INC.

BD
CRD#: 1248
NEW YORK, NY
Past

June 29, 2001 - December 31, 2001

VALLEY FORGE SECURITIES, INC .

BD
CRD#: 20892
ROSEMONT, PA
Past

May 24, 2001 - June 14, 2001

PARKER FINANCIAL CORP.

BD
CRD#: 42140
VALLEY COTTAGE, NY
Past

February 28, 2000 - April 24, 2001

PRESTON LANGLEY ASSET MANAGEMENT, INC.

BD
CRD#: 35733
NEW YORK, NY
Past

November 3, 1999 - February 3, 2000

LH ROSS & COMPANY, INC.

BD
CRD#: 37920
BOCA RATON, FL
Past

April 29, 1999 - September 10, 1999

WIN CAPITAL CORP.

BD
CRD#: 36172
BAYVILLE, NY
Past

April 27, 1998 - April 2, 1999

BARRON CHASE SECURITIES, INC.

BD
CRD#: 18969
BOCA RATON, FL
Past

February 4, 1998 - March 6, 1998

THREE ARROWS CAPITAL CORP.

BD
CRD#: 40669
BETHESDA, MD
Past

October 16, 1997 - January 6, 1998

GLOBAL EQUITIES GROUP INC

BD
CRD#: 34039
NEW YORK, NY
Past

July 9, 1997 - September 30, 1997

MEYERS POLLOCK ROBBINS, INC.

BD
CRD#: 13436
NEW YORK, NY
Past

June 14, 1997 - June 16, 1997

HUNTER WORLD MARKETS, INC.

BD
CRD#: 38755
BEVERLY HILLS, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/5/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/31/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1996
General Securities Representative Examination

Current Firm

WS
WINDSOR STREET CAPITAL, LP
JANSSEN-MEYERS ASSOCIATES, L.P. | WINDSOR STREET CAPITAL, LP | ROAN/MEYERS ASSOCIATES, L.P. | ROAN-MEYERS ASSOCIATES, LP | MEYERS ASSOCIATES, L.P.

CRD#: 34171 / SEC#: , 8-46219

BD
Cancelled by SEC on 02/05/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 04/01/1993
Firm type
Partnership
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MEYERS SECURITIES CORP.GENERAL PARTNER

Disclosures

Regulatory Event37
Arbitration15

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.

Company Information

WINDSOR STREET CAPITAL, LP

CRD#: 34171

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