Patrick 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.
Patrick Steven Nelson, who also goes by Pat Nelson, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1998. Patrick had worked at 6 firms and has passed the Series 63, Series 65, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2010 - May 18, 2011
STEVEN L. FALK & ASSOCIATES INC.
October 11, 2004 - July 6, 2010
WHITE PACIFIC SECURITIES, INC.
March 12, 2004 - September 1, 2004
ALLEGISONE SECURITIES, INC.
August 31, 2000 - December 31, 2001
HARRISDIRECT LLC
March 23, 1999 - August 25, 1999
MORGAN STANLEY DEAN WITTER ONLINE INC.
June 26, 1998 - February 24, 1999
FIDELITY BROKERAGE SERVICES LLC
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
STEVEN L. FALK & ASSOCIATES INC.
CRD#: 14297 / SEC#: , 8-29688
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
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.
