Eric R. 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.
Eric Robert Nelson was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2001. Eric had worked at 4 firms and has passed the Series 66, Series 63, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2018 - August 17, 2018
CHARLES SCHWAB INVESTMENT ADVISORY, INC
June 5, 2017 - March 30, 2018
THOMASPARTNERS, INC.
May 27, 2011 - March 30, 2018
WINDHAVEN INVESTMENT MANAGEMENT, INC.
July 20, 2006 - May 17, 2011
CHARLES SCHWAB & CO., INC.
January 5, 2001 - May 17, 2011
CHARLES SCHWAB & CO., INC.
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
CHARLES SCHWAB INVESTMENT ADVISORY, INC
CRD#: 151739 / SEC#: 801-70737
Contact information
Regulatory assets under management
| Total Number of Accounts | 495,347 |
| AUM (Assets Under Management) | $ 66,080,242,938 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/20/2021 |
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.
