Barclay D. Nelson
BIRCH CAPITAL MANAGEMENT
Dallas, TX
Some features on this profile are disabled
CRD#: 5269340
Professional summary
Barclay D Nelson, CFP®, who also goes by Barclay D. Nelson, is a registered financial advisor currently at BIRCH CAPITAL MANAGEMENT, LLC located in Dallas, Texas.
Barclay is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Barclay has worked at 2 firms and has passed the Series 65, Series 63, Series 7 and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Barclay D. 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.
(1.) NAME OF OB: NELSON FAMILY FOUNDATION; ADDRESS: 5503 BENT TREE DRIVE, DALLAS, TX 75248; NATURE: PRIVATE FOUNDATION MAKING GRANTS TO VARIOUS NON-PROFITS; INVESTMENT RELATED: YES; RELATIONSHIP WITH OB: TRUSTEE; DUTIES: OVERSEE INVESTMENTS FOR FOUNDATION, OVERSEE ALL ADMINISTRATIVE FUNCTIONS, VET GRANT RECIPIENTS, PREPARE FOR BOARD MEETING; START DATE: 06/22/2000; APPROX. NUMBER OF HOURS/MONTH: 1; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS:0; (2.) NAME OF OB: MARGARET IRENE TAYLOR NELSON AND MARY NELSON FAMILY FOUNDATION; ADDRESS: 5503 BENT TREE DRIVE, DALLAS, TX 75248;; NATURE: PRIVATE FOUNDATION MAKING GRANTS TO VARIOUS NON-PROFITS; INVESTMENT RELATED: YES; TITLE WITH OB: DIRECTOR; DUTIES: OVERSEE INVESTMENTS FOR FOUNDATION, TAX FILING, BOARD MEETING PREPARATIONS, VETTING GRANT RECEIPTS, MONITORING GRANT RECIPIENTS; START DATE: 10/20/1999; APPROX. NUMBER OF HOURS/MONTH: 1; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0; (3.) NAME OF OBA: THE CLOUDSTONE FUND; ADDRESS: 5503 BENT TREE DRIVE, DALLAS, TX 75248;; NATURE: PRIVATE FOUNDATION MAKING GRANTS; INVESTMENT RELATED: YES; RELATIONSHIP WITH OB: DIRECTOR, PRESIDENT, AND TREASURER; DUTIES: DIRECTOR, PRESIDENT, AND TREASURER OF PRIVATE FOUNDATION, ADMINISTRATION OF FOUNDATION REQUIREMENTS, INVESTMENT, ACCOUNTING, TAXES, APPROVING GRANTS, AND VETTING GRANT RECIPIENTS; START DATE: 01/01/2020; APPROX. NUMBER OF HOURS/MONTH: 1; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0 (4.) NAME OF OBA: CONVERGENT GROUND LLC; ADDRESS OF OBA: 5503 BENT TREE DRIVE, DALLAS, TX 75248; NATURE: LIMITED LIABILITY COMPANY THAT OWNS AND OPERATES REAL ESTATE; INVESTMENT RELATED: YES; TITLE OR RELATIONSHIP WITH OBA: MANAGING MEMBER; DUTIES: OVERSEE PROPERTY MANAGEMENT, INCLUDING LEASING AND DEVELOPMENT ACTIVITIES; START DATE: 12/3/2021; APPROX. NUMBER OF HOURS/MONTH:5; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0;
CRS (Client Relationship Summary) - RIA
Click below to view Barclay D 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®
CFP®
Start date: 2014
Experience
Current
May 27, 2010 - Present
BIRCH CAPITAL MANAGEMENT, LLC
RIA
CRD#: 152302
Dallas, TX
Past
January 10, 2007 - November 10, 2009
CULLUM & BURKS SECURITIES, INC.
BD
CRD#: 46600
DALLAS, TX
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".
BC
BIRCH CAPITAL MANAGEMENT, LLC
BIRCH CAPITAL MANAGEMENT | BIRCH CONSULTING LLC | BIRCH CAPITAL MANAGEMENT, LLC
CRD#: 152302 / SEC#: 801-112497
RIA
Registered Investment Advisory firm - (2/26/2018 Approved)Missouri
Registered Investment Advisory firm - (3/8/2018 Terminated)Texas
Registered Investment Advisory firm - (3/8/2018 Terminated)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.Highlighted states indicate IAR registrations
IAR
Texas(5/27/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
BC
BIRCH CAPITAL MANAGEMENT, LLC
BIRCH CAPITAL MANAGEMENT | BIRCH CONSULTING LLC | BIRCH CAPITAL MANAGEMENT, LLC
CRD#: 152302 / SEC#: 801-112497
RIA
Registered Investment Advisory firm - (2/26/2018 Approved)Missouri
Registered Investment Advisory firm - (3/8/2018 Terminated)Texas
Registered Investment Advisory firm - (3/8/2018 Terminated)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
Dallas, TX
Mailing Address
Phone number
(214) 810-2824
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 153 |
| AUM (Assets Under Management) | $ 264,700,480 |
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.
