Joseph W. Nelson
THE FIDUCIARY ALLIANCE
NAPLES, FL
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CRD#: 4637736
Professional summary
Joseph Warren Nelson, AIF®, CFP®, who also goes by Joe Nelson, is a registered financial advisor currently at THE FIDUCIARY ALLIANCE located in Naples, Florida.
Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Joseph has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joe 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.
STEWARDSHIP INVESTMENTS, Inc.; SALE OF VARIOUS INSURANCE PRODUCTS THROUGH VARIOUS INSURANCE COMPANIES; INVESTMENT RELATED; APPROXIMATELY 20 HRS MONTH. VOLUNTEER SUBSTITUTE ADULT ED. INSTRUCTOR AT THE CHURCH INCLUDING DAVE RAMSEY'S FPU CLASS and Generous Giving; NOT INVESTMENT RELATED; < 5 HRS/MONTH. PHOTOGRAPHY BUSINESS FOR WEDDINGS AND PORTRAITS; NOT INVESTMENT RELATED; Less than 5 HRS/WK. NOTARY; NOT INVESTMENT RELATED; < 1 HR/WK. AMERICAN CENTER FOR FINANCIAL STEWARDSHIP; BOARD MEMBER AND VICE PRESIDENT OF NON PROFIT; NOT INVESTMENT RELATED; EDUCATES IN THE AREA OF FINANCE, BUDGETING, SAVING; < 5 HOURS MONTH. RENTAL PROPERTY; NOT INVESTMENT RELATED; APPROXIMATELY 1 HR/MONTH; RENTS 2 PROPERTIES THROUGH PERSONAL OWNERSHIP. Referral sources include: The Certified Kingdom Adviser program with the Ron Blue Ministry and the Smartvestor program with the Dave Ramsey, Ramsey Solutions business. Fiduciary Alliance is the RIA that the rep is an IAR with
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Warren 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®
CFP®
Start date: 2006
Experience
Current
June 15, 2021 - Present
THE FIDUCIARY ALLIANCE
RIA
CRD#: 284924
NAPLES, FL
Past
June 15, 2021 - November 8, 2024
FORTUNE FINANCIAL SERVICES, INC.
BD
CRD#: 42150
Naples, FL
Past
January 17, 2007 - June 15, 2021
SPC
RIA
CRD#: 110692
BAGLEY, MN
Past
January 3, 2007 - June 15, 2021
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
BAGLEY, MN
Past
March 4, 2003 - January 11, 2007
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
CLEARBROOK, MN
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".
TF
THE FIDUCIARY ALLIANCE
ALTUM WEALTH ALLIANCE | THE FIDUCIARY ALLIANCE | STEWARDSHIP INVESTMENTS, INC. | PEACHTREE FINANCIAL GROUP | PARALLEL FINANCIAL | NORRIS LAKE RETIREMENT PLANNING, LLC | MORROW WEALTH ADVISORY GROUP | MERRIMACK WEALTH MANAGEMENT | LONGVIEW ADVISORS | KINGDOM WEALTH MANAGEMENT | GUARD LEGACY | FIDUCIARY ALLIANCE LLC | ELM WEALTH ADVISORS | ECHELON FINANCIAL MANAGEMENT | DAVID DUNN WEALTH, LLC | CREATIVE RETIREMENT SOLUTIONS GROUP, LLC | BRIDGEWAY WEALTH STRATEGIES
CRD#: 284924 / SEC#: 801-108283
RIA
Registered Investment Advisory firm - (8/17/2016 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.Highlighted states indicate IAR registrations
IAR
Florida(11/22/2022)
IAR
Minnesota(6/18/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TF
THE FIDUCIARY ALLIANCE
ALTUM WEALTH ALLIANCE | THE FIDUCIARY ALLIANCE | STEWARDSHIP INVESTMENTS, INC. | PEACHTREE FINANCIAL GROUP | PARALLEL FINANCIAL | NORRIS LAKE RETIREMENT PLANNING, LLC | MORROW WEALTH ADVISORY GROUP | MERRIMACK WEALTH MANAGEMENT | LONGVIEW ADVISORS | KINGDOM WEALTH MANAGEMENT | GUARD LEGACY | FIDUCIARY ALLIANCE LLC | ELM WEALTH ADVISORS | ECHELON FINANCIAL MANAGEMENT | DAVID DUNN WEALTH, LLC | CREATIVE RETIREMENT SOLUTIONS GROUP, LLC | BRIDGEWAY WEALTH STRATEGIES
CRD#: 284924 / SEC#: 801-108283
RIA
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Contact information
Main Address
135 S Main St Suite 600, Greenville, SC 29601
Mailing Address
Phone number
(864) 385-7999
Established
Firm type
Fiscal year end
# of Employees
63
SEC notice filing (29 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,842 |
| AUM (Assets Under Management) | $ 1,921,956,974 |
Red Flags
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