Phyllis E. 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.
Phyllis Elizabeth Nelson, who also goes by Phyllis Elizabeth Garcia, Garica Phillis Elizabeth Hynd, Phyllis Elizabeth Hynd, Phyllis Elizabeth Hynd Garcia, was a registered financial professional .
Phyllis is a previously registered financial professional and started their career in finance in 2001. Phyllis had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2019 - December 31, 2023
DAVIDSON INVESTMENT ADVISORS, INC.
December 4, 2019 - March 10, 2023
DAVIDSON FIXED INCOME MANAGEMENT, INC.
July 29, 2016 - December 31, 2023
D.A. DAVIDSON & CO.
July 25, 2016 - December 31, 2023
D.A. DAVIDSON & CO.
July 23, 2012 - July 25, 2016
SMITH HAYES FINANCIAL SERVICES CORPORATION
July 19, 2012 - July 28, 2016
SMITH HAYES ADVISERS INC
July 9, 2010 - September 14, 2011
SECURITIES AMERICA ADVISORS, INC.
November 26, 2007 - September 14, 2011
SECURITIES AMERICA, INC.
April 19, 2006 - July 3, 2007
TD AMERITRADE, INC.
April 19, 2006 - July 3, 2007
NATIONAL INVESTOR SERVICES CORP.
January 3, 2002 - July 3, 2007
TD AMERITRADE CLEARING, INC.
February 22, 2001 - December 31, 2001
J.P. SECURITIES, INC.
Primary Firm SEC Registration
DAVIDSON INVESTMENT ADVISORS, INC.
CRD#: 110552 / SEC#: 801-10883
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
DAVIDSON INVESTMENT ADVISORS, INC.
CRD#: 110552 / SEC#: 801-10883
Contact information
SEC notice filing (42 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,368 |
| AUM (Assets Under Management) | $ 5,033,311,528 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/13/2025 | ||
| 09/27/2024 | ||
| 11/13/2023 | ||
| 12/22/2022 |
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.
