Annette N. 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.
Annette Natalie Nelson, CFP®, who also goes by Annette Marie Garscia, Annette Marie Gorence, A Natalie Nelson, was a registered financial professional .
Annette is a previously registered financial professional and started their career in finance in 2004. Annette had worked at 4 firms and has passed the Series 65, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2007
Experience
March 4, 2021 - January 11, 2022
APOLLON WEALTH MANAGEMENT, LLC
December 14, 2004 - February 12, 2021
CASCADE FINANCIAL MANAGEMENT, INC.
December 14, 2004 - December 31, 2020
CASCADE FINANCIAL MANAGEMENT, INC.
July 2, 2004 - December 7, 2004
SECURITIES AMERICA, INC.
June 28, 2004 - July 2, 2004
SUNAMERICA SECURITIES, INC.
Primary Firm SEC Registration
APOLLON WEALTH MANAGEMENT, LLC
CRD#: 291902 / SEC#: 801-112350
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
APOLLON WEALTH MANAGEMENT, LLC
CRD#: 291902 / SEC#: 801-112350
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 20,798 |
| AUM (Assets Under Management) | $ 7,720,756,861 |
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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