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Fredus Nelson Peters V

CRD# 5826791·Registered 2010 - 2015
Previously Registered: Being a previously registered professional could mean that Fredus 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.

Professional Summary

Fredus Nelson Peters V, who also goes by Nelson Peters, was a registered financial advisor. Fredus was a previously registered financial professional and started their career in finance 2010 - 2015. Fredus had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Nelson Peters

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

16 years in the financial services industry

Current & Past Employments

MERCAP SECURITIES, LLC·CRD# 156607
BD
Atlanta, GA
November 14, 2014 - February 27, 2015
VOYA FINANCIAL ADVISORS, INC.·CRD# 2882
BD
Fort Wayne, IN
August 9, 2012 - December 31, 2012
QUESTAR CAPITAL CORPORATION·CRD# 43100
BD
Fort Wayne, IN
September 16, 2010 - May 2, 2011

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Current Firm

MS
MERCAP SECURITIES, LLC

MERCAP SECURITIES LLC | MERCAP SECURITIES, LLC

CRD#: 156607 / SEC#: 8-68810
BD
Terminated by SEC on 01/24/2021

Contact Information

Established

Delaware since 12/29/2010

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
SFA HOLDINGS, INC.ENTITY—
GOLD, RANDY SCOTTPRESIDENT6952957
HEMDAL, MEGEN ANNCHIEF COMPLIANCE OFFICER5603503
HOLLOWAY, LAREE LYNNEFINOP1365566

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 2010About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Feb 2015About the SIE exam

Series 7 — General Securities Representative Examination

Passed Sep 2010About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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