William E. 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.
William Edward Nelson III, who also goes by Ed Nelson, Eddie Nelson, William E Nelson III, William Edward Nelson III, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2008. William had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 24, 2024 - March 6, 2026
UBS FINANCIAL SERVICES INC.
November 24, 2024 - March 6, 2026
UBS FINANCIAL SERVICES INC.
November 8, 2023 - October 29, 2024
MORGAN STANLEY
November 8, 2023 - October 29, 2024
MORGAN STANLEY
October 16, 2020 - October 27, 2023
WELLS FARGO CLEARING SERVICES, LLC
October 8, 2020 - October 27, 2023
WELLS FARGO CLEARING SERVICES, LLC
December 19, 2017 - October 21, 2020
U.S. BANCORP INVESTMENTS, INC.
December 18, 2017 - October 21, 2020
U.S. BANCORP INVESTMENTS, INC.
November 12, 2013 - December 26, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 14, 2013 - December 26, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 10, 2008 - April 27, 2012
CHASE INVESTMENT SERVICES CORP.
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
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
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
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.
