MN
Mitchell Nelson
ROCKDALE FINANCIAL SERVICES
Eatontown, NJ 07724
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CRD#: 4541840
MN
Professional summary
Mitchell Nelson is a registered financial advisor currently at ROCKDALE FINANCIAL SERVICES, INC. located in Eatontown, New Jersey and CETERA INVESTMENT ADVISERS LLC located in Largo, Florida.
Mitchell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Mitchell has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
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.
1. NAME OF OTHER BUSINESS: ROCKDALE FINANCIAL SERVICES, INC. CRD #128829, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: ADVISORY SERVICES, POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE, START DATE: 10/2021 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING, THIRD PARTY MONEY MANAGEMENT. 2. NAME OF OTHER BUSINESS: MONMOUTH FINANCIAL SERVICES, INC INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 04/2017, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 8, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3. NAME OF OTHER BUSINESS: SENIOR CARE SPECIALISTS INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: INSURANCE DBA, START DATE: 01/2019, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS:1, BRIEF DESCRIPTION OF DUTIES: DBA FOR MEDICARE SUPPLEMENTAL, MEDICARE ADVANTAGE (PART C) AND MEDICARE PRESCRIPTION DRUG (PART D) SALES. 4. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 09/2002, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT, BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, LONG-TERM CARE, PROPERTY AND CASUALTY; 5. NAME OF OTHER BUSINESS: NY NOTARY INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: NOTARY, START DATE: 05/2004, POSITION/TITLE/RELATIONSHIP: NOTARY, LESS THAN ONE HOUR PER WEEK, MAY BE DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: NOTARIZE DOCUMENTS; 6. NAME OF OTHER BUSINESS: NJ NOTARY INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: NOTARY, START DATE: 06/2004, POSITION/TITLE/RELATIONSHIP: NOTARY, LESS THAN ONE HOUR PER WEEK, MAY BE DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: NOTARIZE DOCUMENTS;
CRS (Client Relationship Summary) - RIA
Click below to view Mitchell Nelson's 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®
NoneExperience
Current
November 23, 2021 - Present
ROCKDALE FINANCIAL SERVICES, INC.
Office #1: 99 Corbett Way Suite 103, Eatontown, NJ 07724RIA
CRD#: 128829
Eatontown, NJ
Current
February 1, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
LARGO, FL
Current
October 21, 2021 - Present
CETERA ADVISORS LLC
Office #2: 99 Corbett Way Ste 103, Eatontown, NJ 07724BD
CRD#: 10299
Largo, FL
Past
October 21, 2021 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
NAPLES, FL
Past
April 5, 2017 - October 21, 2021
STONEX ADVISORS INC.
RIA
CRD#: 174182
Leonardo, NJ
Past
April 5, 2017 - October 21, 2021
STONEX SECURITIES INC.
BD
CRD#: 18456
Morganville, NJ
Past
March 15, 2012 - April 5, 2017
CETERA ADVISORS LLC
RIA
CRD#: 10299
OAKHURST, NJ
Past
March 15, 2012 - April 5, 2017
CETERA ADVISORS LLC
BD
CRD#: 10299
OAKHURST, NJ
Past
March 2, 2012 - March 15, 2012
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
Past
April 1, 2011 - March 21, 2012
WRP INVESTMENTS, INC.
RIA
CRD#: 7365
TOMS RIVER, NJ
Past
April 1, 2011 - March 21, 2012
WRP INVESTMENTS, INC.
BD
CRD#: 7365
TOMS RIVER, NJ
Past
February 9, 2009 - April 26, 2011
SECURITIES AMERICA, INC.
BD
CRD#: 10205
ISELIN, NJ
Past
June 22, 2007 - February 12, 2009
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
SEA GIRT, NJ
Past
June 17, 2002 - June 26, 2007
WORLD INVESTMENTS, LLC
BD
CRD#: 20626
LINCROFT, NJ
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.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
California(10/21/2021)
RR
Colorado(5/12/2022)
RR
Florida(10/21/2021)
IAR
Florida(2/1/2024)
RR
Maryland(10/21/2021)
RR
Missouri(6/23/2025)
RR
New Jersey(10/21/2021)
IAR
New Jersey(11/23/2021)
RR
New York(10/21/2021)
RR
Tennessee(1/3/2025)
RR
Texas(10/21/2021)
IAR
Texas(3/21/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Eatontown, NJ 07724TRUST BUT VERIFY
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