DN
Douglas A. Nelson
SUNPOINTE INVESTMENTS
PORTSMOUTH, NH 03801
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CRD#: 4280481
DN
Professional summary
Douglas Andrew Nelson, who also goes by Douglas A Nelson, is a registered financial advisor currently at SUNPOINTE INVESTMENTS located in Portsmouth, New Hampshire and APW CAPITAL, INC. located in Portsmouth, New Hampshire.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Douglas has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Douglas A 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.
1) SUNPOINTE INVESTMENTS, LLC, (RIA), INVESTMENT RELATED, RYE BEACH, NH, MANAGING DIRECTOR, START DATE 6/2021, 40 HOURS PER WEEK 2) NEW HAMPSHIRE FINE ART LLC; NOT INVESTMENT RELATED; RYE BEACH, NH; ART DEALER; 50% OWNERSHIP; START DATE 7/2013; 10 HRS PER MONTH; 2 HRS DURING TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Andrew 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
June 18, 2021 - Present
SUNPOINTE INVESTMENTS
Office #1: One Harbour Place Suite 115, Portsmouth, NH 03801RIA
CRD#: 282505
PORTSMOUTH, NH
Current
June 18, 2021 - Present
APW CAPITAL, INC.
Office #1: One Harbour Place Nh Suite 305, Portsmouth, NH 03801BD
CRD#: 43814
Portsmouth, NH
Past
January 13, 2012 - June 24, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PORTSMOUTH, NH
Past
January 13, 2012 - June 24, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PORTSMOUTH, NH
Past
June 1, 2009 - January 30, 2012
MORGAN STANLEY
RIA
CRD#: 149777
PORTSMOUTH, NH
Past
June 1, 2009 - January 30, 2012
MORGAN STANLEY
BD
CRD#: 149777
PORTSMOUTH, NH
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
PORTSMOUTH, NH
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
PORTSMOUTH, NH
Past
April 29, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
PORTSMOUTH, NH
Past
April 29, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PORTSMOUTH, NH
Past
February 8, 2001 - May 2, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PORTSMOUTH, NH
Past
November 9, 2000 - May 2, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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".
SI
SUNPOINTE INVESTMENTS
SUNPOINTE | SUNPOINTE, LLC | SUNPOINTE INVESTMENTS
CRD#: 282505 / SEC#: 801-118361
RIA
Registered Investment Advisory firm - (4/1/2020 Approved)Florida
Registered Investment Advisory firm - (4/6/2020 Terminated)Michigan
Registered Investment Advisory firm - (4/7/2020 Terminated)Missouri
Registered Investment Advisory firm - (4/6/2020 Terminated)Pennsylvania
Registered Investment Advisory firm - (4/9/2020 Terminated)Texas
Registered Investment Advisory firm - (4/6/2020 Terminated)Virginia
Registered Investment Advisory firm - (4/1/2020 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(8/18/2023)
RR
Colorado(6/18/2021)
RR
Florida(6/18/2021)
RR
Hawaii(6/18/2021)
RR
Maine(6/18/2021)
RR
Massachusetts(6/18/2021)
RR
New Hampshire(6/18/2021)
IAR
New Hampshire(6/18/2021)
RR
New York(6/18/2021)
RR
Oregon(11/9/2022)
RR
South Carolina(6/18/2021)
RR
Virginia(6/18/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SI
SUNPOINTE INVESTMENTS
SUNPOINTE | SUNPOINTE, LLC | SUNPOINTE INVESTMENTS
CRD#: 282505 / SEC#: 801-118361
RIA
Registered Investment Advisory firm - (4/1/2020 Approved)Florida
Registered Investment Advisory firm - (4/6/2020 Terminated)Michigan
Registered Investment Advisory firm - (4/7/2020 Terminated)Missouri
Registered Investment Advisory firm - (4/6/2020 Terminated)Pennsylvania
Registered Investment Advisory firm - (4/9/2020 Terminated)Texas
Registered Investment Advisory firm - (4/6/2020 Terminated)Virginia
Registered Investment Advisory firm - (4/1/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
8301 Maryland Avenue Suite 300, St. Louis, MO 63105
Mailing Address
Phone number
(314) 880-0821
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (14 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 719 |
| AUM (Assets Under Management) | $ 559,202,794 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/25/2023 | ||
| 11/22/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SUNPOINTE INVESTMENTS
CRD#: 282505Portsmouth, NH 03801TRUST BUT VERIFY
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