Thor W. Nelson

ALLIANCE INVESTMENT MANAGEMENT

Jenison, MI 49428

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CRD#: 4621175

Professional summary

Thor William Nelson, AIF® is a registered financial advisor currently at ALLIANCE INVESTMENT MANAGEMENT, LLC located in Jenison, Michigan.

Thor is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Thor has worked at 2 firms and has passed the Series 65 exam.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thor William Nelson's CRS (Customer Relationship Summary).

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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

May 3, 2010 - Present

ALLIANCE INVESTMENT MANAGEMENT, LLC

Office #1: 507 Baldwin St, Jenison, MI 49428

RIA

CRD#: 152012

Jenison, MI

Past

January 8, 2003 - December 31, 2005

SMITH & ASSOCIATES INVESTMENT MANAGEMENT SERVICES

RIA

CRD#: 107093

HOLLAND, MI

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".

ALLIANCE INVESTMENT MANAGEMENT, LLC

CRD#: 152012 / SEC#: 801-121504

RIA

Registered Investment Advisory firm - (6/14/2021 Approved)

Michigan

Registered Investment Advisory firm - (7/26/2021 Terminated)

Wisconsin

Registered Investment Advisory firm - (7/19/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Michigan
(5/3/2010)

IAR

Wisconsin
(8/16/2016)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/19/2010

Uniform Investment Adviser Law Examination

Current Firm

ALLIANCE INVESTMENT MANAGEMENT, LLC

CRD#: 152012 / SEC#: 801-121504

RIA

Registered Investment Advisory firm - (6/14/2021 Approved)

Michigan

Registered Investment Advisory firm - (7/26/2021 Terminated)

Wisconsin

Registered Investment Advisory firm - (7/19/2021 Terminated)

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Contact information

Main Address

507 Baldwin St, Jenison, MI 49428

Mailing Address

Phone number

(800) 890-1246

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	560
AUM (Assets Under Management)	$ 179,117,628

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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Thor W. Nelson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thor William Nelson's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLIANCE INVESTMENT MANAGEMENT, LLC

SMITH & ASSOCIATES INVESTMENT MANAGEMENT SERVICES

Primary Firm SEC Registration

ALLIANCE INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/19/2010

Current Firm

ALLIANCE INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLIANCE INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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