David L. 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.
David Leonard Nelson was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1972. David had worked at 3 firms and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 1983 - June 16, 1983
TBA FINANCIAL CORPORATION
March 15, 1983 - February 14, 1991
ELDER-NELSON EQUITIES CORPORATION
May 22, 1972 - March 2, 1983
CINCINNATI ANALYSTS, 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
Exams
Series 1
Date: 5/15/1972
Registered Representative ExaminationSeries 00
Date: 11/8/1973
General Securities Principal ExaminationCurrent Firm
TBA FINANCIAL CORPORATION
CRD#: 8179 / SEC#: , 8-24690
Contact information
Documents
Red Flags
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