Ronald O. 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.
Ronald O Nelson, who also goes by Ron Nelson, was a registered financial advisor .
Ronald is a previously registered financial advisor and started their career in finance in 1974. Ronald had worked at 7 firms and has passed the Series 65, Series 63 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
July 27, 2007 - February 8, 2012
HERITAGE FINANCIAL ADVISORS, LLC
January 24, 2006 - August 6, 2007
SECURITIES AMERICA ADVISORS, INC.
January 11, 2006 - August 6, 2007
SECURITIES AMERICA, INC.
August 7, 2003 - January 13, 2006
OSAIC FA, INC.
August 6, 2003 - January 13, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 6, 2003 - January 13, 2006
OSAIC FA, INC.
May 1, 2002 - June 16, 2003
MONY SECURITIES CORPORATION
April 1, 1974 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
April 1, 1974 - June 16, 2003
MONY SECURITIES CORPORATION
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: 3/27/1974
Registered Representative ExaminationCurrent Firm
HERITAGE FINANCIAL ADVISORS, LLC
CRD#: 144472 / SEC#:
Contact information
Red Flags
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