Paul L. Nelson
CETERA INVESTMENT ADVISERS LLC
Gig Harbor, WA 98335
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CRD#: 5975141
Professional summary
Paul Leonard Nelson, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Gig Harbor, Washington and CETERA WEALTH SERVICES, LLC located in Gig Harbor, Washington.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Paul has worked at 4 firms and has passed the Series 66, Series 6TO, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
Retirement Planning
Investment Planning
What is your minimum asset requirement?
100K
Are you a "fiduciary"?
Yes
Aliases
None
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 OTHER BUSINESS: WESTSTAR PROSPERITY PARTNERS; INVESTMENT RELATED: YES ADDRESS: SAME AS SECURITIES / REGISTERED BUSINESS ADDRESS; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 12/2022; POSITION/TITLE/RELATIONSHIP: CFP / FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING AND INVESTING SERVICES FOR CLIENTS; 2. NAME OF OTHER BUSINESS: PAUL NELSON LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR TAX PURPOSES; START DATE: 12/2022; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: DBA FOR TAX PURPOSES, TO TRACK REVENUE AND EXPENSES, RECORD MEETING MINUTES; 3. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 02/2013; APX NUMBER OF HOURS PER WEEK: 6; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT- BRIEF DESCRIPTION OF DUTIES: SALE LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG-TERM CARE;
CRS (Client Relationship Summary) - RIA
Click below to view Paul Leonard 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: 2015
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 4423 Point Fosdick Dr. Suite #208-4, Gig Harbor, WA 98335Office #2: 4423 Point Fosdick Dr. Suite #208-4, Gig Harbor, WA 98335RIA
CRD#: 105644
Gig Harbor, WA
Current
December 7, 2022 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 4423 Point Fosdick Dr., Suite #208-4, Gig Harbor, WA 98335BD
CRD#: 13572
Gig Harbor, WA
Past
December 7, 2022 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
January 4, 2013 - December 19, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
BREMERTON, WA
Past
January 4, 2013 - December 19, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
PORT ORCHARD, WA
Past
April 25, 2012 - December 21, 2012
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
SEATTLE, WA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(12/7/2022)
RR
Colorado(12/7/2022)
RR
Hawaii(12/7/2022)
RR
Missouri(7/28/2025)
RR
Nevada(12/7/2022)
RR
New Mexico(12/7/2022)
RR
North Carolina(12/21/2022)
RR
Oregon(12/7/2022)
RR
Texas(12/7/2022)
IAR
Texas(6/29/2023)
RR
Utah(5/21/2025)
RR
Washington(12/7/2022)
IAR
Washington(6/29/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Gig Harbor, WA 98335TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
