James M. 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.
James Michael Nelson, who also goes by James M Nelson, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2004. James had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2014 - December 26, 2014
SIDOTI & COMPANY, LLC
July 9, 2011 - August 24, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 8, 2010 - December 22, 2010
SOURCE CAPITAL GROUP, INC.
August 24, 2010 - November 1, 2010
GILFORD SECURITIES INCORPORATED
April 21, 2010 - July 15, 2010
JESUP & LAMONT SECURITIES CORP
May 23, 2005 - April 30, 2007
INTL FCSTONE CREDIT TRADING LLC
February 25, 2004 - May 9, 2005
SIDOTI & COMPANY, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SIDOTI & COMPANY, LLC
CRD#: 102860 / SEC#: , 8-52141
Contact information
FINRA licenses (40 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
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.
