GN
Gerald A. Nelson
PRINCIPAL SECURITIES
Oakland, TN
Some features on this profile are disabled
CRD#: 4579032
GN
Professional summary
Gerald Artemus Nelson, who also goes by G Artemus Nelson, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Oakland, Tennessee.
Gerald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Gerald has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
G Artemus 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.
**Fixed insurance, Fixed life, fixed annuities, health, DI and LTC, 7/26/16. **Taxmagnate, Inc, owner, 7/26/16. **Rental property, owner, 7/26/16. **Azariah Publishing, Inc., Owner, purchasing rights to books whose copyrights have expired, book publishing, 08/16/16. **Accountemps/Robert Half; Randstad; Not Investment Related; Memphis, TN; Bookkeeper; Performing general accounting work to local companies on a temporary basis through temp agencies. No handling of cash.; Start Date: 12/15/2019; 20 hrs per month; 1 during trading hours. **Operations Better Days; Not Investment Related; Memphis, TN; Bookkeeper; General accounting work and bookkeeping work for non-profit organization. No handling of funds nor have check writing capabilities.; Start Date: 01/01/2020; 5 hrs per month; 1 during trading hours. **P&C INSURANCE POSITION: P&C Insurance NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 10 START DATE: 03/01/2025 ADDRESS: 5865 Ridgeway Center Parkway, Suite 300, Memphis TN 38120, United States DESCRIPTION: I will engage in the sale of Property and Casualty insurance to the general public. There is not target market. All compensation will be generated from the sales of these products from product issuers.
CRS (Client Relationship Summary) - RIA
Click below to view Gerald Artemus Nelson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gerald Artemus 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
August 16, 2016 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
Oakland, TN
Current
July 18, 2016 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
Oakland, TN
Past
April 5, 2013 - August 6, 2016
WADDELL & REED
RIA
CRD#: 866
MEMPHIS, TN
Past
March 1, 2013 - August 6, 2016
WADDELL & REED
BD
CRD#: 866
MEMPHIS, TN
Past
February 17, 2005 - August 2, 2012
FIRST HORIZON ADVISORS, INC.
BD
CRD#: 17117
MEMPHIS, TN
Past
December 11, 2002 - December 31, 2004
NCF FINANCIAL SERVICES, INC.
BD
CRD#: 120471
DURHAM, NC
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".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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
Alabama(1/9/2019)
RR
Arizona(9/27/2016)
RR
Arkansas(1/5/2017)
RR
California(2/28/2022)
RR
Georgia(9/23/2020)
RR
Kentucky(1/13/2021)
RR
Mississippi(7/26/2016)
RR
Nevada(1/29/2019)
IAR
Tennessee(8/16/2016)
RR
Tennessee(1/27/2020)
RR
Texas(9/27/2016)
IAR
Texas(6/16/2021)
RR
West Virginia(2/19/2023)
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
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
