Nellie C. Townsend
Professional summary
Nellie Catelin Townsend, who also goes by Nellie C Townsend, is a registered financial professional currently at AW SECURITIES located in Denver, Colorado.
Nellie is registered as a RR (Registered Representative) and started their career in finance in 2021. Nellie has worked at 3 firms and has passed the Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nellie Catelin Townsend's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 20, 2025 - Present
AW SECURITIES
Office #1: 8055 E. Tuffs Ave. #1310, Denver, CO 80237January 11, 2023 - August 25, 2025
LPL FINANCIAL LLC
March 5, 2021 - January 3, 2023
SECURITIES AMERICA, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/20/2025)
Exams
Series 7TO
Date: 3/5/2021
General Securities Representative ExaminationFINRA
Current Firm
AW SECURITIES
CRD#: 103747 / SEC#: 801-69038, 8-52250
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLWORTH FINANCIAL GROUP, L.P. | GENERAL PARTNER | |
| BEATON, DANIEL STEWART | FINOP | 4240769 |
| FRIZE, BERNARD JOSEPH JR | CHIEF COMPLIANCE OFFICER - BD | 2366022 |
| GAMBLE, COREY C | CHIEF COMPLIANCE OFFICER - IA/ENTERPRISE CCO | 4919573 |
| GREENBERG, BARRY YALE | CHIEF LEGAL COUNSEL | 5863733 |
| GRIGSBY, GARY LAWSON | CEO | 3167632 |
| TAYLOR, KRISTIAN LEIGH | VICE PRESIDENT- OPERATIONS | 4163800 |
Red Flags
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