Denver L. Nelson
Professional summary
Denver Lee Nelson JR, who also goes by Denver Lee Jr Nelson, is a registered financial professional currently at SIGMA FINANCIAL CORPORATION located in Portsmouth, Ohio.
Denver is registered as a RR (Registered Representative) and started their career in finance in 1997. Denver has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Denver Lee Nelson JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 31, 2009 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 611 Chillicothe St, Portsmouth, OH 45662August 4, 2009 - December 31, 2024
SPC
October 22, 2007 - July 31, 2009
VOYA FINANCIAL ADVISORS, INC.
March 28, 2005 - November 2, 2007
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
February 18, 2003 - March 28, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
February 18, 2003 - November 2, 2007
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 20, 2001 - February 25, 2003
VERAVEST INVESTMENTS, INC.
November 26, 1997 - August 30, 2001
AVANTAX INVESTMENT 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
(10/1/2019)
(10/1/2019)
(7/31/2009)
(7/31/2009)
(7/25/2024)
(1/24/2025)
(1/26/2015)
Exams
FINRA
Nasdaq Stock Market
Current Firm
SIGMA FINANCIAL CORPORATION
CRD#: 14303 / SEC#: , 8-30466
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | TRUST (OWNER OF ALL VOTING SHARES) | |
| MCCLELLAN, JOHN ALEXANDER | CHIEF RISK AND BUSINESS OFFICER | 4016479 |
| PHILLIPS, RICHARD THOMAS | CHIEF COMPLIANCE OFFICER | 6041363 |
| PISTOR, RANDOLPH FULVIO | CHIEF LEGAL OFFICER | 5143334 |
| RYDELL, BRANDON DAVID | PRESIDENT | 2933397 |
| RYDELL, JEROME STANLEY | CEO, CHAIRMAN AND TRUSTEE OF THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | 408389 |
| WOOTON, RYAN DANIEL | CHIEF FINANCIAL OFFICER | 8006797 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 11 |
Red Flags
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