Howard S. 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.
Howard Scott Nelson was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 2002. Howard had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2010 - September 9, 2020
X-CHANGE FINANCIAL ACCESS, LLC
November 30, 2007 - May 7, 2010
PORTSMOUTH FINANCIAL SERVICES
November 29, 2005 - November 30, 2007
AK CAPITAL, LLC
July 26, 2004 - December 17, 2004
SRT SECURITIES LLC
July 30, 2002 - May 4, 2004
NEW ALBION PARTNERS LLC
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
Series 55
Date: 4/30/2003
Limited Representative-Equity Trader ExamCurrent Firm
X-CHANGE FINANCIAL ACCESS, LLC
CRD#: 126201 / SEC#: , 8-65860
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 32 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
