Brett Nelson

NEW LEAF CAPITAL

Greenwood Village, CO 80111

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CRD#: 4436008

Professional summary

Brett Nelson, who also goes by Brett Alan Nelson, is a registered financial advisor currently at NEW LEAF CAPITAL, LLC located in Greenwood Village, Colorado and INVICTA CAPITAL LLC located in Oakmont, Pennsylvania.

Brett is registered as an IAR (Investment Advisor Representative) and 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"?

Yes

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)

The CRS(Customer Relationship Summary) document is not provided.

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

April 25, 2012 - Present

NEW LEAF CAPITAL, LLC

Office #1: 6295 Greenwood Plaza Blvd, Greenwood Village, CO 80111

CRD#: 160602

Greenwood Village, CO

Current

May 18, 2021 - Present

INVICTA CAPITAL LLC

Office #1: 527 Cedar Way Suite 101, Oakmont, PA 15139

CRD#: 288101

OAKMONT, PA

Past

August 12, 2014 - May 18, 2021

FDX CAPITAL LLC

CRD#: 119302

NEW YORK, NY

Past

October 7, 2010 - August 8, 2014

DMS CAPITAL SOLUTIONS, INC.

CRD#: 150695

DENVER, CO

Past

October 27, 2009 - February 25, 2010

ENNIS KNUPP SECONDARY MARKET SERVICES, LLC

CRD#: 149421

CHICAGO, IL

Past

March 13, 2006 - September 6, 2006

THE TRINITY GROUP, LLC

CRD#: 128490

DENVER, CO

Past

January 2, 2003 - November 5, 2004

GPC SECURITIES, INC.

CRD#: 14007

ATLANTA, GA

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.

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

IAR

Colorado
(4/25/2012)

Colorado
(5/18/2021)

New York
(5/18/2021)

Pennsylvania
(5/18/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/17/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/5/2009

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/5/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 22TO

Date: 1/2/2023

Direct Participation Programs Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/3/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 39

Date: 10/15/2009

Direct Participation Programs Principal Examination

SRO Registrations

FINRA

Current Firm

NEW LEAF CAPITAL, LLC

CRD#: 160602 / SEC#:

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Contact information

Main Address

6295 Greenwood Plaza Blvd, Greenwood Village, CO 80111

Mailing Address

Phone number

(720) 285-9911

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Advisor Monitoring

Firm Stability Insights

Brett Nelson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INVICTA CAPITAL LLC

FDX CAPITAL LLC

DMS CAPITAL SOLUTIONS, INC.

ENNIS KNUPP SECONDARY MARKET SERVICES, LLC

THE TRINITY GROUP, LLC

GPC SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/17/2011

Series 63

Date: 9/5/2009

Series 66

Date: 9/5/2002

Series 22TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/3/2009

Series 39

Date: 10/15/2009

FINRA

Current Firm

NEW LEAF CAPITAL, LLC

Contact information

Documents

Red Flags

Company Information

NEW LEAF CAPITAL, LLC

TRUST BUT VERIFY

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