Larry 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.
Larry Ardell Nelson, who also goes by Larry A Nelson, was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 2000. Larry had worked at 14 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2018 - October 28, 2019
CUNA BROKERAGE SERVICES, INC.
July 11, 2018 - October 28, 2019
CUNA BROKERAGE SERVICES, INC.
January 31, 2015 - June 26, 2018
TRANSAMERICA RETIREMENT ADVISORS, LLC
September 15, 2014 - June 26, 2018
TRANSAMERICA INVESTORS SECURITIES, LLC
November 20, 2008 - September 12, 2014
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
December 5, 2007 - November 4, 2008
ALLSTATE FINANCIAL SERVICES, LLC
August 28, 2007 - October 19, 2007
J. W. COLE ADVISORS, INC.
August 9, 2007 - October 19, 2007
J.W. COLE FINANCIAL, INC.
September 12, 2005 - July 25, 2007
M&I FINANCIAL ADVISORS, INC
October 2, 2003 - September 21, 2005
METROPOLITAN LIFE INSURANCE COMPANY
October 2, 2003 - September 21, 2005
MSI FINANCIAL SERVICES, INC.
January 2, 2002 - July 15, 2003
LOCUST STREET SECURITIES, INC.
March 1, 2001 - December 31, 2001
UNITED SECURITIES ALLIANCE, INC.
July 24, 2000 - February 9, 2001
IDS LIFE INSURANCE COMPANY
July 24, 2000 - February 9, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
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
Current Firm
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
