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BN

Brett Nelson

INVICTA CAPITAL LLC
OAKMONT, PA 15139
Some features on this profile are disabled
CRD#: 4436008
BN

Professional summary

Brett Nelson, who also goes by Brett Alan Nelson, is a registered financial professional currently at INVICTA CAPITAL LLC located in Oakmont, Pennsylvania.

Brett is registered as a RR (Registered Representative) and started their career in finance in 2003. Brett has worked at 7 firms and has passed the Series 65, Series 63, Series 66, Series 22TO, SIE, Series 7 and Series 39 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brett Alan 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brett 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

May 18, 2021 - Present

INVICTA CAPITAL LLC

Office #1: 527 Cedar Way Suite 101, Oakmont, PA 15139
BD
CRD#: 288101
OAKMONT, PA
Past

August 12, 2014 - May 18, 2021

FDX CAPITAL LLC

BD
CRD#: 119302
NEW YORK, NY
Past

April 25, 2012 - November 12, 2025

NEW LEAF CAPITAL, LLC

RIA
CRD#: 160602
GREENWOOD VILLAGE, CO
Past

October 7, 2010 - August 8, 2014

DMS CAPITAL SOLUTIONS, INC.

BD
CRD#: 150695
DENVER, CO
Past

October 27, 2009 - February 25, 2010

ENNIS KNUPP SECONDARY MARKET SERVICES, LLC

BD
CRD#: 149421
CHICAGO, IL
Past

March 13, 2006 - September 6, 2006

THE TRINITY GROUP, LLC

BD
CRD#: 128490
DENVER, CO
Past

January 2, 2003 - November 5, 2004

GPC SECURITIES, INC.

BD
CRD#: 14007
ATLANTA, GA

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
Colorado
(5/18/2021)
RR
New York
(5/18/2021)
RR
Pennsylvania
(5/18/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/17/2011
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/5/2009
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 9/5/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/3/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 39
Date: 10/15/2009
Direct Participation Programs Principal Examination
SRO Registrations
RR
FINRA

Current Firm

IC
INVICTA CAPITAL LLC
INVICTA CAPITAL LLC

CRD#: 288101 / SEC#: , 8-69923

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
527 Cedar Way Suite 101, Oakmont, PA 15139
Mailing Address
527 Cedar Way Suite 101, Oakmont, PA 15139
Phone number
(412) 349-8684
Established
Pennsylvania since 07/14/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (36 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
INVICTA FINANCIAL GROUPHOLDING COMPANY
GIAMBRI, PHILIP MAYNARDSHAREHOLDER1182516
TEAL, GREGORY SCOTTSHAREHOLDER4768591
PEARSON, KRISTIN MARIECHIEF COMPLIANCE OFFICER4522677

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

INVICTA CAPITAL LLC

CRD#: 288101Oakmont, PA 15139

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