Gordon L. Nelson

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CRD#: 2982767

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.

Gordon Levi Nelson, CFP® was a registered financial professional .

Gordon is a previously registered financial professional and started their career in finance in 1998. Gordon had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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®

CFP^®

Certified Financial Planner

Start date: 2010

Experience

Past

February 23, 2023 - November 22, 2024

AURELIUS FAMILY OFFICE, LLC

RIA

CRD#: 323016

Logan, UT

Past

October 31, 2011 - March 29, 2024

KEYSTONE WEALTH ADVISORS

RIA

CRD#: 158234

LOGAN, UT

Past

September 30, 2003 - January 23, 2012

LPL FINANCIAL LLC

RIA

CRD#: 6413

LOGAN, UT

Past

September 29, 2003 - November 7, 2014

LPL FINANCIAL LLC

CRD#: 6413

LOGAN, UT

Past

August 11, 1999 - October 2, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

OGDEN, UT

Past

July 29, 1999 - October 2, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

January 30, 1998 - August 6, 1999

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AURELIUS FAMILY OFFICE, LLC

CRD#: 323016 / SEC#: 801-126682

RIA

Registered Investment Advisory firm - (10/3/2022 Approved)

Illinois

Registered Investment Advisory firm - (2/15/2023 Terminated)

Ohio

Registered Investment Advisory firm - (2/15/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/5/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/26/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/7/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/28/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/26/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/23/2003

General Securities Principal Examination

Current Firm

AURELIUS FAMILY OFFICE, LLC

CRD#: 323016 / SEC#: 801-126682

RIA

Registered Investment Advisory firm - (10/3/2022 Approved)

Illinois

Registered Investment Advisory firm - (2/15/2023 Terminated)

Ohio

Registered Investment Advisory firm - (2/15/2023 Terminated)

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Contact information

Main Address

3 Executive Park Drive Suite 261, Bedford, NH 03110

Mailing Address

Phone number

(603) 413-6060

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AURELIUS FAMILY OFFICE, LLC ADV BROCHURE (9/15/2025)

Regulatory assets under management

Total Number of Accounts	660
AUM (Assets Under Management)	$ 265,861,275

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/04/2025	Cover Page	Report
08/01/2024	Cover Page	Report
02/15/2024	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Gordon L. Nelson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AURELIUS FAMILY OFFICE, LLC

KEYSTONE WEALTH ADVISORS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

AVANTAX INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

AURELIUS FAMILY OFFICE, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/5/1999

Series 63

Date: 1/26/1998

SIE

Date: 11/7/2014

Series 7

Date: 5/28/1999

Series 6

Date: 1/26/1998

Series 24

Date: 12/23/2003

Current Firm

AURELIUS FAMILY OFFICE, LLC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

AURELIUS FAMILY OFFICE, LLC

TRUST BUT VERIFY

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