MN
Martin O. Nelson
MARTIN NELSON & CO.
Seattle, WA 98109
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CRD#: 346215
MN
Professional summary
Martin Oliver Nelson JR is a registered financial advisor currently at MARTIN NELSON & CO., INC. located in Seattle, Washington.
Martin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. Martin has worked at 1 firm and has passed the Series 65, Series 63, Series 79TO, Series 52TO, Series 7TO, Series 99TO, Series 57TO, SIE, Series 55, Series 1, Series 24, Series 27, Series 53, Series 4 and Series 00 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) MON LLC COMMERCIAL BUILDINGS AND MARINA MANAGING PARTNER NOV 1, 2002 40 HOURS "0" HOURS DURING TRADING HOURS (2) MARTIN O. NELSON 1985 TRUST TRUST INVESTING IN STOCKS, BONDS, AND REAL ESTATE FOR THE BENEFIT OF MY CHILDREN TRUSTEE 10-1-85 5 HOURS "0" HOURS DURING TRADING HOURS (3) MARTIN NELSON & CO EMPLOYEES PROFIT SHARING TRUST TRUST INVESTING IN STOCKS AND BONDS FOR THE BENEFIT OF EMPLOYEES TRUSTEE 1-1-85 5 HOURS "0" HOURS DURING TRADING HOURS (4) ESTATE OF JANET BROUDY - I WAS NAMED AS THE EXECUTOR OF THE ESTATE OF JANET BROUDY AND THE TRUSTEE OF THE WOLGANG KLEMPERER TRUST BEGINNING AUGUST 2023. JANET WAS A CLIENT THAT NAMED ME AS THE EXECUTOR. APPROX 5-10H PER MONTH, SOME DURING SECURITIES TRADING HOURS. (5) I AM THE TRUSTEE TO THE CAROLYN GRAY TRUST. CAROLYN IS A FRIEND. APPROX 5-10H PER MONTH, SOME DURING SECURITIES TRADING HOURS. (6) I AM THE TRUSTEE TO THE GERIANE STRONG TRUST. GERAINE WAS A LONG TIME CLIENT AND FRIEND. APPROX 5-10H PER MONTH, SOME DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Martin Oliver Nelson JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Martin Oliver Nelson JR'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
May 14, 2013 - Present
MARTIN NELSON & CO., INC.
Office #1: 1500 Westlake Ave N # 200, Seattle, WA 98109Office #2: 1500 Westlake Ave North #200, Seattle, WA 98109-3031RIA
BD
CRD#: 2903
Seattle, WA
Current
October 9, 1970 - Present
MARTIN NELSON & CO., INC.
Office #1: 1500 Westlake Ave N # 200, Seattle, WA 98109Office #2: 1500 Westlake Ave N. Ste 200, Seattle, WA 98109-3031RIA
BD
CRD#: 2903
Seattle, WA
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".
MARTIN NELSON & CO., INC.
MARTIN NELSON & CO., INC.
CRD#: 2903 / SEC#: 801-123009, 8-831
RIA
Registered Investment Advisory firm - SEC (1/11/2022 Approved)Oregon
Registered Investment Advisory firm - SEC (11/24/2020 Terminated)Washington
Registered Investment Advisory firm - SEC (2/14/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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.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
Alaska(5/5/1998)
RR
California(1/24/1997)
RR
Florida(2/16/1994)
RR
Georgia(12/19/2017)
RR
Idaho(9/1/1998)
RR
Maryland(7/23/2002)
RR
Montana(9/26/2019)
RR
New York(10/24/2006)
RR
Oregon(10/10/1990)
RR
Texas(5/20/1999)
RR
Washington(5/20/1983)
IAR
Washington(5/14/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 10/23/1998
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
RR
Series 1
Date: 9/12/1972
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 00
Date: 3/27/1973
General Securities Principal ExaminationSRO Registrations
RR
FINRA
Current Firm
MARTIN NELSON & CO., INC.
MARTIN NELSON & CO., INC.
CRD#: 2903 / SEC#: 801-123009, 8-831
RIA
Registered Investment Advisory firm - SEC (1/11/2022 Approved)Oregon
Registered Investment Advisory firm - SEC (11/24/2020 Terminated)Washington
Registered Investment Advisory firm - SEC (2/14/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
1500 Westlake Ave N. Ste 200, Seattle, WA 98109-3031
Mailing Address
1500 Westlake Ave N. Ste 200, Seattle, WA 98109-3031
Phone number
(206) 682-6261
Established
Washington since 04/01/1954
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
7
SEC notice filing (9 States and Territories)
FINRA licenses (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 392 |
| AUM (Assets Under Management) | $ 260,010,706 |
Disclosures
| Regulatory Event | 4 |
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.
