JN
John W. Nelson
CORECAP INVESTMENTS
Lubbock, TX
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CRD#: 346158
JN
Professional summary
John William Nelson is a registered financial professional currently at CORECAP INVESTMENTS, LLC located in Lubbock, Texas.
John is registered as a RR (Registered Representative) and started their career in finance in 1974. John has worked at 7 firms and has passed the Series 63, Series 6TO, SIE, Series 1, Series 26 and Series 00 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view John William Nelson's 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®
NoneExperience
Current
October 22, 2019 - Present
CORECAP INVESTMENTS, LLC
BD
CRD#: 37068
Lubbock, TX
Past
June 21, 2017 - November 7, 2019
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
LUBBOCK, TX
Past
January 3, 2006 - June 21, 2017
CCF INVESTMENTS, INC.
BD
CRD#: 136571
LUBBOCK, TX
Past
April 5, 1999 - December 31, 2005
THE LEADERS GROUP, INC.
BD
CRD#: 37157
SUMMIT, NJ
Past
March 13, 1984 - April 12, 1999
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Past
February 3, 1981 - April 19, 1984
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
Past
August 13, 1974 - March 2, 1981
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/22/2019)
RR
Alaska(1/6/2020)
RR
Arizona(10/22/2019)
RR
Arkansas(10/22/2019)
RR
California(10/22/2019)
RR
Colorado(10/22/2019)
RR
Connecticut(9/3/2021)
RR
Florida(10/22/2019)
RR
Georgia(10/22/2019)
RR
Idaho(10/22/2019)
RR
Illinois(2/25/2021)
RR
Indiana(9/15/2021)
RR
Iowa(10/22/2019)
RR
Kansas(10/22/2019)
RR
Kentucky(10/22/2019)
RR
Louisiana(10/22/2019)
RR
Michigan(10/22/2019)
RR
Minnesota(10/17/2022)
RR
Mississippi(10/29/2024)
RR
Missouri(10/22/2019)
RR
Montana(10/22/2019)
RR
Nebraska(8/18/2020)
RR
Nevada(10/22/2019)
RR
New Jersey(10/22/2019)
RR
New Mexico(10/22/2019)
RR
New York(3/23/2020)
RR
North Carolina(10/22/2019)
RR
North Dakota(5/19/2021)
RR
Ohio(10/22/2019)
RR
Oklahoma(10/22/2019)
RR
Oregon(10/22/2019)
RR
Pennsylvania(9/15/2021)
RR
Rhode Island(9/11/2023)
RR
South Carolina(10/22/2019)
RR
Tennessee(1/12/2021)
RR
Texas(10/22/2019)
RR
Utah(10/22/2019)
RR
Vermont(3/14/2022)
RR
Virginia(10/22/2019)
RR
Washington(10/22/2019)
RR
Wisconsin(10/22/2019)
RR
Wyoming(10/22/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 8/6/1974
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 00
Date: 12/30/1975
General Securities Principal ExaminationSRO Registrations
RR
FINRA
Current Firm
CI
CORECAP INVESTMENTS, LLC
ADVANTAGE BENEFITS AND RETIREMENT | WINGARD FINANCIAL GROUP | WINDSOR, SHEFFIELD & CO., INC. | WINDSOR SHEFFIELD & CO., INC. | TLC INSURANCE | TALLOU FINANCIAL SERVICES | STRANG ASSOCIATES | STIVERS FINANCIAL | SPARTAN FINANCIAL GROUP | SOLOMON FINANCIAL | SLEEP WELL RETIREMENT | SKOLNIK RETIREMENT SOLUTIONS, LLC | SIMASKO FINANCIAL | RUCKER FINANCIAL GROUP | RONNIE BROUSSARD & ASSOCIATES | ROMAIN FINANCIAL | PHARR FINANCIAL GROUP | PETTIFORD FINANCIAL & WEALTH MANAGEMENT | PATHWAY FINANCIAL GROUP | NJ RETIREMENT PLANNING, LLC | MICHAEL T GROVES FINANCIAL | MANNOR FINANCIAL GROUP | LOVELESS FINANCIAL GROUP, LLC | LAKE COUNTY FINANCIAL GROUP | LABADIE FINANCIAL | KLAUENBERG RETIREMENT SOLUTIONS | JOHN NELSON FINANCIAL | HAROLD THOMAS FINANCIAL GROUP, LLC | GILLIKIN & ASSOCIATES | FIRST FINANCIAL GROUP USA | FINANCIAL FITNESS | EVERLAST FINANCIAL GROUP | ESPERO & PARTNERS | DWORETSKY FINANCIAL | CREATIVE FINANCIAL SOLUTIONS | CORNERSTONE FINANCIAL | CORECAP INVESTMENTS, LLC | CORECAP INVESTMENTS, INC. | COOPER, ADEL, VU FINANCIAL | CONNERS WEALTH MANAGEMENT | CAPITAL CHOICE SOUTHWEST | CAPITAL CHOICE FINANCIAL SERVICES | BELLFLOWER FINANCIAL GROUP, LLC | AZOURY & ASSOCIATES | ASSET MANAGEMENT & ADVISORY SERVICES OF LEE COUNTY | ANDRIKOS FINANCIAL PARTNERS | AMERICAN PROSPERITY GROUP
CRD#: 37068 / SEC#: , 8-47783
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
27777 Franklin Road Suite 700, Southfield, MI 48034
Mailing Address
27777 Franklin Road Suite 700, Southfield, MI 48034
Phone number
(888) 296-3360
Established
Delaware since 04/24/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 8 |
| 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.
