Michael D. 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.
Michael David Nelson was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2001. Michael had worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2012 - September 10, 2015
WESTWOOD CAPITAL, LLC
September 10, 2007 - August 28, 2009
BARCLAYS CAPITAL INC.
April 5, 2001 - November 12, 2002
CIBC WORLD MARKETS CORP.
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 55
Date: 12/9/2008
Limited Representative-Equity Trader ExamCurrent Firm
WESTWOOD CAPITAL, LLC
CRD#: 39551 / SEC#: , 8-48745
Contact information
FINRA licenses (7 States and Territories)
Documents
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.
