Michael E. Nelson
Professional summary
Michael Edward Nelson, who also goes by Michael E Nelson, is a registered financial advisor currently at CITY NATIONAL ROCHDALE located in New York, New York and CNR SECURITIES, LLC located in New York, New York.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Michael has worked at 3 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Michael Edward Nelson's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 2, 2017 - Present
CITY NATIONAL ROCHDALE
Office #1: 400 Park Avenue 10th Floor, New York, NY 10022November 1, 2017 - Present
CNR SECURITIES, LLC
Office #1: 400 Park Avenue 6th Floor, New York, NY 10022October 7, 2013 - October 25, 2017
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
Primary Firm SEC Registration
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/29/2020)
(11/2/2017)
(7/12/2018)
(7/12/2018)
(9/12/2018)
(3/26/2019)
(9/12/2018)
(3/26/2019)
(3/6/2018)
(7/12/2018)
(3/26/2019)
(4/20/2021)
(4/20/2021)
(3/26/2019)
(11/1/2017)
(4/5/2021)
(8/15/2022)
(8/29/2020)
(7/12/2018)
(8/15/2022)
(3/26/2019)
(2/13/2025)
(3/26/2019)
(3/26/2019)
Exams
FINRA
Current Firm
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,300 |
| AUM (Assets Under Management) | $ 68,177,828,012 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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