Dewayne R. Nelson

COLLECTIVE WEALTH ADVISORS LLC

PHOENIX, AZ 85016

Some features on this profile are disabled

CRD#: 3037041

Professional summary

Dewayne Ray Nelson III, AIF®, who also goes by Dewayne Ray Nelson, Trey Nelson, is a registered financial advisor currently at COLLECTIVE WEALTH ADVISORS LLC located in Phoenix, Arizona.

Dewayne is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Dewayne has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dewayne Ray Nelson | Trey Nelson

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.

(1)PALO VERDE VIEW LLC; NOT INVESTMENT RELATED; PHOENIX, AZ; OWNER; 11/2017; LESS THAN 1%/ MO; RENTAL OPPORTUNITIES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dewayne Ray Nelson III's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

Experience

Current

April 26, 2021 - Present

COLLECTIVE WEALTH ADVISORS LLC

Office #1: 4742 N 24th Street Suite 300, Phoenix, AZ 85016

RIA

CRD#: 289157

PHOENIX, AZ

Past

January 3, 2019 - April 12, 2021

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

RIA

CRD#: 143319

PHOENIX, AZ

Past

October 29, 2018 - April 14, 2021

FORESIDE FINANCIAL SERVICES, LLC

CRD#: 148477

PORTLAND, ME

Past

November 17, 2009 - January 3, 2019

LWI FINANCIAL INC.

RIA

CRD#: 111861

Phoenix, AZ

Past

October 14, 2009 - October 29, 2018

LORING WARD SECURITIES INC.

CRD#: 46337

SAN JOSE, CA

Past

March 24, 2008 - October 14, 2009

GENEOS WEALTH MANAGEMENT, INC.

RIA

CRD#: 120894

DALLAS, TX

Past

March 24, 2008 - October 14, 2009

GENEOS WEALTH MANAGEMENT, INC.

CRD#: 120894

DALLAS, TX

Past

August 25, 2004 - March 24, 2008

NRP FINANCIAL, INC.

RIA

CRD#: 103717

ADDISON, TX

Past

August 25, 2004 - March 24, 2008

NRP FINANCIAL, INC.

CRD#: 103717

ADDISON, TX

Past

October 22, 2002 - August 5, 2004

NEW ENGLAND SECURITIES

RIA

CRD#: 615

DALLAS, TX

Past

October 15, 2002 - August 5, 2004

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

July 1, 2002 - October 8, 2002

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

MINNEAPOLIS, MN

Past

May 14, 1998 - July 1, 2002

LUTHERAN BROTHERHOOD SECURITIES CORP.

CRD#: 4205

MINNEAPOLIS, MN

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".

COLLECTIVE WEALTH ADVISORS LLC

COLLECTIVE WEALTH ADVISORS LLC | SWM PLANNING, LLC | SOVEREIGN WEALTH MANAGEMENT

CRD#: 289157 / SEC#: 801-133786

RIA

Registered Investment Advisory firm - (6/30/2025 Approved)

Arizona

Registered Investment Advisory firm - (7/8/2025 Terminated)

Florida

Registered Investment Advisory firm - (7/8/2025 Terminated)

Illinois

Registered Investment Advisory firm - (12/14/2023 Terminated)

Louisiana

Registered Investment Advisory firm - (7/8/2025 Terminated)

Texas

Registered Investment Advisory firm - (7/8/2025 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(5/28/2021)

IAR

Louisiana
(7/9/2024)

IAR

Texas
(4/26/2021)

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 66

Date: 1/19/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/27/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/11/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/8/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/19/2005

General Securities Principal Examination

Current Firm

COLLECTIVE WEALTH ADVISORS LLC

COLLECTIVE WEALTH ADVISORS LLC | SWM PLANNING, LLC | SOVEREIGN WEALTH MANAGEMENT

CRD#: 289157 / SEC#: 801-133786

RIA

Registered Investment Advisory firm - (6/30/2025 Approved)

Arizona

Registered Investment Advisory firm - (7/8/2025 Terminated)

Florida

Registered Investment Advisory firm - (7/8/2025 Terminated)

Illinois

Registered Investment Advisory firm - (12/14/2023 Terminated)

Louisiana

Registered Investment Advisory firm - (7/8/2025 Terminated)

Texas

Registered Investment Advisory firm - (7/8/2025 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

713 Main Street, Coppell, TX 75019

Mailing Address

Phone number

(214) 427-1427

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A & 2B SEC (5/30/2025)

Regulatory assets under management

Total Number of Accounts	552
AUM (Assets Under Management)	$ 139,765,830

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.

Similar Advisors

Joseph Di Vito

RBC CAPITAL MARKETS, LLC

IAR

Scottsdale, AZ

Luke Kacer

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Tucson, AZ

Timothy Hughes

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Scottsdale, AZ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Dewayne R. Nelson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dewayne Ray Nelson III's CRS (Customer Relationship Summary).

Certified licenses

Experience

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

FORESIDE FINANCIAL SERVICES, LLC

LWI FINANCIAL INC.

LORING WARD SECURITIES INC.

GENEOS WEALTH MANAGEMENT, INC.

GENEOS WEALTH MANAGEMENT, INC.

NRP FINANCIAL, INC.

NRP FINANCIAL, INC.

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

THRIVENT INVESTMENT MANAGEMENT INC.

LUTHERAN BROTHERHOOD SECURITIES CORP.

Primary Firm SEC Registration

COLLECTIVE WEALTH ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/19/2002

Series 63

Date: 3/27/1998

SIE

Date: 10/1/2018

Series 7

Date: 12/11/2001

Series 6

Date: 5/8/1998

Series 24

Date: 3/19/2005

Current Firm

COLLECTIVE WEALTH ADVISORS LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COLLECTIVE WEALTH ADVISORS LLC

TRUST BUT VERIFY

Similar Advisors