Carissa M. 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.
Carissa Marie Nelson, who also goes by Carissa Marie Doctor, was a registered financial professional .
Carissa is a previously registered financial professional and started their career in finance in 2013. Carissa had worked at 2 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2015 - June 1, 2017
EMPLOYER RETIREMENT INVESTMENT ADVISORS, LLC
July 8, 2013 - October 24, 2013
CUNA BROKERAGE SERVICES, 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
Exams
Current Firm
EMPLOYER RETIREMENT INVESTMENT ADVISORS, LLC
CRD#: 153254 / SEC#: 801-79183
Contact information
Red Flags
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.
