David A. 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.
David Arthur Nelson was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2003. David had worked at 2 firms and has passed the Series 65 and Series 63 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2010 - December 31, 2017
CRESCENT ADVISOR GROUP, INC.
November 3, 2003 - December 31, 2008
FORTITUDE ADVISORY GROUP L.L.C.
June 24, 2003 - April 4, 2002
CRESCENT ADVISOR GROUP, INC.
Primary Firm SEC Registration
CRESCENT ADVISOR GROUP, INC.
CRD#: 115974 / SEC#: 801-127131
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
Current Firm
CRESCENT ADVISOR GROUP, INC.
CRD#: 115974 / SEC#: 801-127131
Contact information
SEC notice filing (7 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 467 |
| AUM (Assets Under Management) | $ 282,987,504 |
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.
