Kristen L. Nelson
Professional summary
Kristen Lynn Nelson, who also goes by Kristen Lynn Hudson, is a registered financial advisor currently at CAPITAL CLIENT GROUP, INC. located in Los Angeles, California.
Kristen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Kristen has worked at 5 firms and has passed the Series 65, Series 63, Series 66, Series 7TO, SIE, Series 6, Series 7, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kristen Lynn Nelson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kristen Lynn Nelson's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 26, 2018 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 333 South Hope Street 55th Floor, Los Angeles, CA, 90071-1447September 15, 2018 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 333 South Hope Street 55th Floor, Los Angeles, CA, 90071-1447March 2, 2011 - March 2, 2012
HEFTY WEALTH PARTNERS
October 5, 2006 - February 4, 2011
LPL FINANCIAL LLC
October 5, 2006 - March 8, 2012
LPL FINANCIAL LLC
October 24, 2005 - September 7, 2006
CETERA WEALTH SERVICES, LLC
November 22, 2004 - October 24, 2005
BLUE VASE SECURITIES, LLC
Primary Firm SEC Registration
CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/28/2018)
(5/8/2025)
(9/27/2018)
(10/26/2018)
(4/5/2023)
(4/5/2023)
(9/28/2018)
Exams
Series 7TO
Date: 11/2/2020
General Securities Representative ExaminationFINRA
Current Firm
CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
Contact information
SEC notice filing (15 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL RESEARCH AND MANAGEMENT COMPANY | STOCKHOLDER | |
| AGUILAR, ALBERT JR | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, DIRECTOR | 5106724 |
| BURTON, RENE MARGARET | TREASURER, FINANCIAL OPERATIONS PRINCIPAL, VICE PRESIDENT, DIRECTOR | 1956766 |
| MCHALE, TIMOTHY WILLIAM | SECRETARY | 4244021 |
| O'CONNOR, MATTHEW PHILIP | CHAIRMAN & CHIEF EXECUTIVE OFFICER, DIRECTOR | 2427203 |
| PIKEN, KEITH ALAN | SENIOR VICE PRESIDENT, DIRECTOR | 2576730 |
| TRIESSL, MICHAEL JAMES | DIRECTOR | 3060797 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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