Keith E. Nelson

STANCORP EQUITIES

Portland, OR 97204-1093

Some features on this profile are disabled

CRD#: 5162324

Professional summary

Keith Edward Nelson, who also goes by Keith Nelson, is a registered financial professional currently at STANCORP EQUITIES, INC. located in Portland, Oregon.

Keith is registered as a RR (Registered Representative) and started their career in finance in 2006. Keith has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Keith Nelson

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Keith Edward Nelson'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®

None

Experience

Current

June 18, 2021 - Present

STANCORP EQUITIES, INC.

Office #1: 1100 Sw Sixth Avenue, Portland, OR 97204-1093

CRD#: 19517

Portland, OR

Past

January 9, 2012 - June 4, 2021

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

August 28, 2007 - December 31, 2009

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

June 26, 2006 - August 6, 2007

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

DES MOINES, IA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Arkansas
(6/18/2021)

Illinois
(6/18/2021)

Indiana
(6/18/2021)

Iowa
(6/18/2021)

Kansas
(6/18/2021)

Louisiana
(6/18/2021)

Michigan
(6/18/2021)

Minnesota
(6/18/2021)

Mississippi
(6/18/2021)

Missouri
(6/18/2021)

Nebraska
(6/18/2021)

North Dakota
(6/18/2021)

Oklahoma
(6/18/2021)

South Dakota
(6/18/2021)

Tennessee
(1/2/2025)

Texas
(6/18/2021)

Wisconsin
(6/18/2021)

Exams

State Security Law Exam

Series 63

Date: 11/26/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/5/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/24/2006

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

STANCORP EQUITIES, INC.

STANCORP EQUITIES, INC. | STANWEST EQUITIES, INC. | STANDARD EQUITIES, INC.

CRD#: 19517 / SEC#: , 8-37563

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1100 Sw Sixth Avenue, Portland, OR 97204-1093

Mailing Address

900 Sw 5th Avenue, C22, Portland, OR 97204-1093

Phone number

(971) 321-8830

Established

Oregon since 10/02/1986

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
STANCORP FINANCIAL GROUP, INC.	OWNER OF STANCORP EQUITIES, INC.
BURLIE, JASON MATTHEW	PRESIDENT	4072452
HUANG, JAMES PEI-YUEN	SECRETARY	4020305
LIM, CHARLES	CHIEF COMPLIANCE OFFICER	5039063
MARTIN, SHANNON MICHELLE	2ND VICE PRESIDENT AND ASSISTANT CONTROLLER	7616238
PAGLIARULO, DAVID C	TREASURER, FINOP	6883045

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.

Similar Advisors

Viengsavanh Bounnam

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Vancouver, WA

Devlin Carothers

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Vancouver, WA

Gregory Bowen

MARINER WEALTH

IAR

Portland, OR

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Keith E. Nelson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Keith Edward Nelson's CRS (Customer Relationship Summary).

Certified licenses

Experience

STANCORP EQUITIES, INC.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

VOYA FINANCIAL PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/26/2013

SIE

Date: 10/1/2018

Series 7

Date: 3/5/2015

Series 6

Date: 6/24/2006

FINRA

Current Firm

STANCORP EQUITIES, INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

STANCORP EQUITIES, INC.

TRUST BUT VERIFY

Similar Advisors