Jeffrey S. 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.
Jeffrey Shane Nelson, who also goes by Jeff Shane Nelson, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1996. Jeffrey had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2013 - July 29, 2016
KMS FINANCIAL SERVICES, INC.
February 25, 2013 - July 29, 2016
KMS FINANCIAL SERVICES, INC.
December 17, 2008 - December 18, 2012
LPL FINANCIAL LLC
December 17, 2008 - December 18, 2012
LPL FINANCIAL LLC
November 12, 2004 - December 18, 2008
AMERIPRISE ADVISOR SERVICES, INC.
November 1, 2004 - December 18, 2008
AMERIPRISE ADVISOR SERVICES, INC.
September 18, 2003 - March 9, 2004
EDWARD JONES
May 2, 2001 - September 16, 2003
WELLS FARGO INVESTMENTS, LLC
February 25, 2000 - May 2, 2001
WELLS FARGO SECURITIES INC.
May 16, 1997 - June 18, 1999
CITIGROUP GLOBAL MARKETS INC.
October 22, 1996 - December 13, 1996
DAVREY FINANCIAL SERVICES, INC.
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
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
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.
