Dennis D. 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.
Dennis David Nelson was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1975. Dennis had worked at 9 firms and has passed the Series 63, Series 15, Series 5, Series 7, Series 24, Series 12 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2011 - October 26, 2022
NAPLES MONEY MANAGEMENT LLC
March 31, 1989 - December 31, 2008
MUTUAL SERVICE CORPORATION
March 6, 1989 - March 15, 2010
LITCHFIELD, NELSON & COMPANY
March 23, 1988 - March 31, 1989
LOWRY FINANCIAL SERVICES CORPORATION
February 11, 1988 - March 4, 1988
RAYMOND JAMES & ASSOCIATES, INC.
May 12, 1984 - April 2, 1985
RICHARDSON GREENSHIELDS SECURITIES INC.
June 21, 1980 - February 18, 1988
WACHOVIA SECURITIES, INC.
November 16, 1979 - May 1, 1984
MORGAN STANLEY DW INC.
January 3, 1975 - November 25, 1979
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
Primary Firm SEC Registration
NAPLES MONEY MANAGEMENT LLC
CRD#: 153499 / SEC#: 801-71295
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
Series 15
Date: 8/8/1984
Foreign Currency Options ExaminationSeries 5
Date: 12/11/1982
Interest Rate Options ExaminationSeries 12
Date: 6/21/1980
NYSE Branch Manager ExaminationCurrent Firm
NAPLES MONEY MANAGEMENT LLC
CRD#: 153499 / SEC#: 801-71295
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 498 |
| AUM (Assets Under Management) | $ 157,797,662 |
Red Flags
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