RN
Robert S. Nelson
GRADIENT SECURITIES
Arden Hills, MN 55126
Some features on this profile are disabled
CRD#: 4237080
RN
Professional summary
Robert Scott Nelson, who also goes by Rob Nelson, Robert Scott Nelson, is a registered financial professional currently at GRADIENT SECURITIES, LLC located in Arden Hills, Minnesota.
Robert is registered as a RR (Registered Representative) and started their career in finance in 2000. Robert has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Rob Nelson | Robert Scott Nelson
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Robert Scott Nelson'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
February 7, 2018 - Present
GRADIENT SECURITIES, LLC
Office #1: 4105 Lexington Avenue Suite 380, Arden Hills, MN 55126Office #2: 4105 Lexington Avenue Suite 380, Arden Hills, MN 55126RIA
BD
CRD#: 127701
Arden Hills, MN
Past
January 12, 2010 - April 28, 2014
GRADIENT SECURITIES, LLC
BD
CRD#: 127701
TOPEKA, KS
Past
March 25, 2009 - January 8, 2010
MADISON AVENUE SECURITIES, LLC
RIA
CRD#: 23224
TOPEKA, KS
Past
June 13, 2007 - March 25, 2009
MADISON AVENUE ADVISORS, INC.
RIA
CRD#: 137461
TOPEKA, KS
Past
June 13, 2007 - January 8, 2010
MADISON AVENUE SECURITIES, LLC
BD
CRD#: 23224
TOPEKA, KS
Past
November 15, 2006 - December 20, 2006
GRADIENT INVESTMENTS, LLC
RIA
CRD#: 141726
MINNEAPOLIS, MN
Past
August 11, 2006 - June 1, 2007
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
TOPEKA, KS
Past
August 16, 2000 - July 13, 2005
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
MINNEAPOLIS, MN
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".
GS
GRADIENT SECURITIES, LLC
GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT
CRD#: 127701 / SEC#: 801-80807, 8-66032
RIA
Registered Investment Advisory firm - SEC (1/8/2015 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(3/9/2021)
RR
Alaska(3/9/2021)
RR
Arizona(3/9/2021)
RR
Arkansas(3/9/2021)
RR
California(3/9/2021)
RR
Colorado(3/9/2021)
RR
Connecticut(3/9/2021)
RR
Delaware(3/9/2021)
RR
District of Columbia(3/9/2021)
RR
Florida(3/9/2021)
RR
Georgia(3/9/2021)
RR
Hawaii(3/9/2021)
RR
Idaho(3/9/2021)
RR
Illinois(3/9/2021)
RR
Indiana(3/9/2021)
RR
Iowa(3/9/2021)
RR
Kansas(3/9/2021)
RR
Kentucky(3/9/2021)
RR
Louisiana(3/9/2021)
RR
Maine(3/9/2021)
RR
Maryland(3/9/2021)
RR
Massachusetts(3/9/2021)
RR
Michigan(3/9/2021)
RR
Minnesota(3/9/2021)
RR
Mississippi(3/9/2021)
RR
Missouri(3/9/2021)
RR
Montana(3/9/2021)
RR
Nebraska(3/9/2021)
RR
Nevada(3/9/2021)
RR
New Hampshire(3/9/2021)
RR
New Jersey(3/9/2021)
RR
New Mexico(3/9/2021)
RR
New York(3/9/2021)
RR
North Carolina(3/9/2021)
RR
North Dakota(3/9/2021)
RR
Ohio(3/9/2021)
RR
Oklahoma(3/9/2021)
RR
Oregon(3/9/2021)
RR
Pennsylvania(3/9/2021)
RR
Rhode Island(3/9/2021)
RR
South Carolina(3/9/2021)
RR
South Dakota(3/9/2021)
RR
Tennessee(3/9/2021)
RR
Texas(3/9/2021)
RR
Utah(3/9/2021)
RR
Vermont(3/9/2021)
RR
Virginia(3/9/2021)
RR
Washington(3/9/2021)
RR
West Virginia(3/9/2021)
RR
Wisconsin(3/9/2021)
RR
Wyoming(3/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GRADIENT SECURITIES, LLC
GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT
CRD#: 127701 / SEC#: 801-80807, 8-66032
RIA
Registered Investment Advisory firm - SEC (1/8/2015 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
4105 Lexington Avenue Suite 380, Arden Hills, MN 55126
Mailing Address
4105 Lexington Avenue Suite 380, Arden Hills, MN 55126
Phone number
(866) 991-1539
Established
Delaware since 04/09/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
62
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 7,322 |
| AUM (Assets Under Management) | $ 591,069,287 |
Disclosures
| Regulatory Event | 1 |
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.
