Lowell A. 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.
Lowell Allen Nelson was a registered financial professional .
Lowell is a previously registered financial professional and started their career in finance in 1982. Lowell had worked at 10 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2015 - April 4, 2017
VOYA FINANCIAL ADVISORS, INC.
February 23, 2015 - April 4, 2017
VOYA FINANCIAL ADVISORS, INC.
March 15, 2010 - March 2, 2015
LPL FINANCIAL LLC
June 12, 2009 - March 2, 2015
LPL FINANCIAL LLC
July 14, 2003 - June 15, 2009
VOYA FINANCIAL ADVISORS, INC.
October 27, 2000 - July 17, 2003
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 18, 1997 - July 17, 2003
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 19, 1996 - March 20, 1997
NEW ENGLAND SECURITIES
June 6, 1994 - June 28, 1996
WMA SECURITIES, INC.
October 15, 1992 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 20, 1990 - December 6, 1990
MERRIMAN CAPITAL, INC.
March 17, 1988 - May 15, 1989
EAGLE POINTE SECURITIES
June 10, 1987 - March 22, 1988
FPI SECURITIES, INC.
October 31, 1985 - October 13, 1987
NATIONWIDE INVESTMENT SERVICES CORPORATION
January 29, 1982 - June 12, 1987
VERAVEST INVESTMENTS, INC.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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: 6/22/1972
Registered Representative ExaminationCurrent Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
