Debra L. 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.
Debra Louise Nelson, who also goes by Debra Louise Merchant, Debra Louise Wender, was a registered financial professional .
Debra is a previously registered financial professional and started their career in finance in 2005. Debra had worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2021 - July 12, 2021
RAYMOND JAMES & ASSOCIATES, INC.
February 23, 2021 - July 12, 2021
RAYMOND JAMES & ASSOCIATES, INC.
March 14, 2016 - May 14, 2020
ROBERT W. BAIRD & CO. INCORPORATED
March 14, 2016 - May 14, 2020
ROBERT W. BAIRD & CO. INCORPORATED
June 23, 2011 - April 7, 2016
MORGAN STANLEY
June 23, 2011 - April 7, 2016
MORGAN STANLEY
January 3, 2011 - June 16, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - June 16, 2011
WELLS FARGO CLEARING SERVICES, LLC
March 30, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
March 26, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
February 16, 2007 - March 12, 2010
WELLS FARGO CLEARING SERVICES, LLC
February 1, 2007 - March 12, 2010
WELLS FARGO CLEARING SERVICES, LLC
May 17, 2006 - February 1, 2007
ATLAS SECURITIES, LLC
April 22, 2005 - November 7, 2005
FARMERS FINANCIAL SOLUTIONS, LLC
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
