ND
Nelson Dume
SCHWAB WEALTH ADVISORY
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 5135312
ND
Professional summary
Nelson Dume JR, who also goes by Nelson Dume Jr, Nelson Dume Jr., is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Chicago, Illinois and CHARLES SCHWAB & CO., INC. located in Chicago, Illinois.
Nelson is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Nelson has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nelson Dume Jr | Nelson Dume Jr.
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.
Rental property, Fort Lauderdale, FL; Business investment related; start date of business affiliation: 7/1/11; Title/duties: landlord; 0 hours devoted each month during and outside of security trading hours
CRS (Client Relationship Summary) - RIA
Click below to view Nelson Dume JR'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®
NoneExperience
Current
August 29, 2024 - Present
SCHWAB WEALTH ADVISORY, INC.
Office #1: 150 S Wacker Dr, Chicago, IL 60606RIA
CRD#: 159035
Chicago, IL
Current
August 29, 2024 - Present
CHARLES SCHWAB & CO., INC.
Office #1: 150 S. Wacker Drive, Chicago, IL 60606-4111RIA
BD
CRD#: 5393
Chicago, IL
Past
April 3, 2017 - July 26, 2024
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
CHICAGO, IL
Past
May 29, 2007 - July 26, 2024
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
CHICAGO, IL
Past
January 5, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
WESTON, FL
Past
June 12, 2006 - December 20, 2006
WAMU INVESTMENTS, INC.
BD
CRD#: 599
WESTON, FL
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".
SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
RIA
Registered Investment Advisory firm - (12/9/2011 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/29/2024)
RR
Alaska(8/29/2024)
RR
Arizona(8/29/2024)
RR
Arkansas(8/29/2024)
RR
California(8/29/2024)
RR
Colorado(8/29/2024)
RR
Connecticut(8/29/2024)
RR
Delaware(8/29/2024)
RR
District of Columbia(8/29/2024)
RR
Florida(8/29/2024)
RR
Georgia(8/29/2024)
RR
Hawaii(8/29/2024)
RR
Idaho(8/29/2024)
RR
Illinois(8/29/2024)
IAR
Illinois(8/29/2024)
RR
Indiana(8/29/2024)
RR
Iowa(8/29/2024)
RR
Kansas(8/29/2024)
RR
Kentucky(8/29/2024)
RR
Louisiana(8/29/2024)
RR
Maine(8/29/2024)
RR
Maryland(8/29/2024)
RR
Massachusetts(8/29/2024)
RR
Michigan(8/29/2024)
RR
Minnesota(8/29/2024)
RR
Mississippi(8/29/2024)
RR
Missouri(8/29/2024)
RR
Montana(8/29/2024)
RR
Nebraska(8/29/2024)
RR
Nevada(8/29/2024)
RR
New Hampshire(8/29/2024)
RR
New Jersey(8/29/2024)
RR
New Mexico(8/29/2024)
RR
New York(8/29/2024)
RR
North Carolina(8/29/2024)
RR
North Dakota(8/29/2024)
RR
Ohio(8/29/2024)
RR
Oklahoma(8/29/2024)
RR
Oregon(8/29/2024)
RR
Pennsylvania(8/29/2024)
RR
Puerto Rico(8/29/2024)
RR
Rhode Island(8/29/2024)
RR
South Carolina(8/29/2024)
RR
South Dakota(8/29/2024)
RR
Tennessee(8/29/2024)
RR
Texas(8/29/2024)
IAR
Texas(8/29/2024)
RR
Utah(8/29/2024)
RR
Vermont(8/29/2024)
RR
Virgin Islands(8/29/2024)
RR
Virginia(8/29/2024)
RR
Washington(8/29/2024)
RR
West Virginia(8/29/2024)
RR
Wisconsin(8/29/2024)
RR
Wyoming(8/29/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
RIA
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Contact information
Main Address
211 Main Street, San Francisco, CA 94105-1901
Mailing Address
Phone number
(415) 667-7000
Established
Firm type
Fiscal year end
# of Employees
1,042
SEC notice filing (53 States and Territories)
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.
