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Nelson Cabot Jr.

CRD# 5956113·Registered 2011 - 2015
Previously Registered: Being a previously registered professional could mean that Nelson 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

Nelson Cabot JR., who also goes by Rusty Cabot, was a registered financial advisor. Nelson was a previously registered financial professional and started their career in finance 2011 - 2015. Nelson had worked at 1 firm and has passed the Series 63, SIE, Series 7 and Series 24 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

Rusty Cabot

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

15 years in the financial services industry

Current & Past Employments

WELBORN CAPITAL LLC·CRD# 152234
BD
Hudson, NY
August 29, 2013 - June 16, 2015
WELBORN CAPITAL LLC·CRD# 152234
BD
Hudson, NY
July 28, 2011 - July 31, 2013

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Current Firm

WC
WELBORN CAPITAL LLC

INSIGNIA GLOBAL TRADING LLC | WELBORN CAPITAL LLC | RED SQUARE SECURITIES LLC (DEL) | RED SQUARE SECURITIES (DEL)

CRD#: 152234 / SEC#: 8-68436
BD
Terminated by SEC on 06/16/2015

Contact Information

Established

Delaware since 10/26/2009

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
RED SQUARE SECURITIES LLCDIRECT OWNER & MANAGING MEMBER—
CHEATHAM ROBERTS, LAURIE PATRIECECO-CHIEF COMPLIANCE OFFICER2492833
HABERFELD, FRED LFINOP5668726
HEALY, DANIEL JOSEPHCEO/GSP5051498
OBRIEN, MAUREEN MCO-CHIEF COMPLIANCE OFFICER4182378

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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 Aug 2011About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jun 2015About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jul 2011About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Feb 2012About the Series 24 exam

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CRS (Client Relationship Summary)

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

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