Steven 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.
Steven Allan Nelson, who also goes by Steve Nelson, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1973. Steven had worked at 5 firms and has passed the Series 63, SIE, Series 15, PC 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
January 4, 1999 - August 2, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 3, 1995 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
July 29, 1994 - May 3, 1995
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 20, 1992 - August 15, 1994
BENTLEY-LAWRENCE SECURITIES, INC.
January 11, 1991 - June 1, 1992
WOODWARD SECURITIES CORPORATION
May 25, 1973 - January 10, 1991
FIRST OF MICHIGAN 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 15
Date: 5/19/1984
Foreign Currency Options ExaminationPC
Date: 7/14/1977
AMEX Put and Call ExamSeries 1
Date: 5/21/1973
Registered Representative ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
Red Flags
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