Kent D. Nelson
Professional summary
Kent Douglas Nelson was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kent is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Kent had worked at 7 firms, which includes INVESTMENT SECURITY CORPORATION, AMERICAN GENERAL SECURITIES INCORPORATED, NORTHEAST SECURITIES LLC, LPL FINANCIAL LLC, IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC, MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2003 - April 5, 2004
INVESTMENT SECURITY CORPORATION
September 21, 2001 - December 31, 2002
AMERICAN GENERAL SECURITIES INCORPORATED
February 2, 2001 - May 23, 2001
NORTHEAST SECURITIES, LLC
April 14, 1999 - February 2, 2001
LPL FINANCIAL LLC
January 29, 1998 - April 20, 1999
IDS LIFE INSURANCE COMPANY
January 29, 1998 - April 20, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
March 10, 1997 - August 18, 1997
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Exams
Current Firm
INVESTMENT SECURITY CORPORATION
CRD#: 47536 / SEC#: , 8-51832
Contact information
FINRA licenses (8 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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