Nicholas 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.
Nicholas Mcintire Nelson, who also goes by Nicholas M Nelson, Nick Mcintire Nelson, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2006. Nicholas had worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2014 - September 27, 2024
SAMMONS FINANCIAL NETWORK, LLC
June 1, 2009 - July 2, 2014
PARKLAND SECURITIES, LLC
October 20, 2006 - May 31, 2007
PARKLAND SECURITIES, LLC
State Registrations and Notice Filings
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
SAMMONS FINANCIAL NETWORK, LLC
CRD#: 158538 / SEC#: , 8-68905
Contact information
FINRA licenses (53 States and Territories)
Documents
Red Flags
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