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AN

Aaron M. Nelson

WAVERLY ADVISORS
Birmingham, AL 35209
Some features on this profile are disabled
CRD#: 4419322
AN

Professional summary

Aaron Michael Nelson is a registered financial advisor currently at WAVERLY ADVISORS, LLC located in Birmingham, Alabama.

Aaron is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Aaron has worked at 7 firms and has passed the Series 66, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron Michael Nelson's CRS (Customer Relationship Summary).
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®
None

Experience

Current

January 5, 2016 - Present

WAVERLY ADVISORS, LLC

Office #1: 600 University Park Place Suite 501, Birmingham, AL 35209
RIA
CRD#: 115332
Birmingham, AL
Past

February 23, 2016 - January 18, 2022

EMERANT WEALTH, LLC

RIA
CRD#: 282538
BIRMINGHAM, AL
Past

May 4, 2015 - December 31, 2015

WAVERLY ADVISORS, LLC

RIA
CRD#: 115332
BIRMINGHAM, AL
Past

September 30, 2009 - May 1, 2015

AMN INVESTMENTS

RIA
CRD#: 151262
BIRMINGHAM, AL
Past

May 7, 2009 - August 10, 2009

PFM CAPITAL MANAGEMENT LLC

RIA
CRD#: 106390
SANDY SPRINGS, GA
Past

April 10, 2008 - March 12, 2009

STANFORD GROUP COMPANY

RIA
CRD#: 39285
ATLANTA, GA
Past

April 4, 2008 - March 12, 2009

STANFORD GROUP COMPANY

BD
CRD#: 39285
ATLANTA, GA
Past

February 13, 2003 - April 8, 2008

MORGAN KEEGAN & COMPANY, LLC

RIA
CRD#: 4161
ATLANTA, GA
Past

February 21, 2002 - April 8, 2008

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
ATLANTA, GA
Past

September 20, 2001 - March 8, 2002

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI

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".
WA
WAVERLY ADVISORS, LLC
401K COMPLETE | WAVERLY ADVISORS, LLC | WARREN, AVERETT, KIMBROUGH AND MARINO WEALTH MANAGEMENT, LLC | WARREN AVERETT WILSON PRICE WEALTH MANAGEMENT | WARREN AVERETT WEALTH MANAGEMENT | WARREN AVERETT O'SULLIVAN CREEL WEALTH MANAGEMENT | WARREN AVERETT KIMBROUGH & MARINO WEALTH MANAGEMENT | WARREN AVERETT INSTITUTIONAL CONSULTING | WARREN AVERETT FAMILY OFFICE | WARREN AVERETT ASSET MANAGEMENT, LLC | WAKM FINANCIAL ADVISORS, LLC | WA ASSET MANAGEMENT, LLC | MCSHANE PARTNERS

CRD#: 115332 / SEC#: 801-60741

RIA
Registered Investment Advisory firm - (11/30/2001 Approved)

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.

Highlighted states indicate IAR registrations

IAR
Alabama
(1/5/2016)
IAR
Florida
(1/28/2016)
IAR
Georgia
(1/25/2016)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/20/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 11/19/2014
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/19/2001
General Securities Representative Examination

Current Firm

WA
WAVERLY ADVISORS, LLC
401K COMPLETE | WAVERLY ADVISORS, LLC | WARREN, AVERETT, KIMBROUGH AND MARINO WEALTH MANAGEMENT, LLC | WARREN AVERETT WILSON PRICE WEALTH MANAGEMENT | WARREN AVERETT WEALTH MANAGEMENT | WARREN AVERETT O'SULLIVAN CREEL WEALTH MANAGEMENT | WARREN AVERETT KIMBROUGH & MARINO WEALTH MANAGEMENT | WARREN AVERETT INSTITUTIONAL CONSULTING | WARREN AVERETT FAMILY OFFICE | WARREN AVERETT ASSET MANAGEMENT, LLC | WAKM FINANCIAL ADVISORS, LLC | WA ASSET MANAGEMENT, LLC | MCSHANE PARTNERS

CRD#: 115332 / SEC#: 801-60741

RIA
Registered Investment Advisory firm - (11/30/2001 Approved)
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Contact information

Main Address
600 University Park Place Suite 501, Birmingham, AL 35209
Mailing Address
Phone number
(205) 871-3334
Established
Firm type
Fiscal year end
# of Employees
371

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WAVERLY - ADV PART 2A BROCHURE (11/21/2025)

Regulatory assets under management

Total Number of Accounts34,313
AUM (Assets Under Management)$ 28,263,743,199

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
02/27/2025
Cover Page
Report
02/16/2024
Cover Page
Report
06/15/2023
Cover Page
Report

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.

Company Information

WAVERLY ADVISORS, LLC

CRD#: 115332Birmingham, AL 35209

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