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CN

Christopher L. Nelson

APA SECURITIES
Englewood Cliffs, NJ 07632
Some features on this profile are disabled
CRD#: 6296630
CN

Professional summary

Christopher Lewis Nelson, who also goes by Christopher Nelson, is a registered financial professional currently at APA SECURITIES, LLC located in Englewood Cliffs, New Jersey.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 2014. Christopher has worked at 2 firms and has passed the Series 99TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Christopher Nelson

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christopher Lewis 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®
None

Experience

Current

February 9, 2016 - Present

APA SECURITIES, LLC

Office #1: 920 Sylvan Avenue, Suite 240, Englewood Cliffs, NJ 07632
BD
CRD#: 133615
Englewood Cliffs, NJ
Past

May 6, 2015 - September 1, 2015

NEWPORT COAST SECURITIES, INC.

BD
CRD#: 16944
NEW YORK, NY
Past

May 2, 2014 - September 2, 2014

NEWPORT COAST SECURITIES, INC.

BD
CRD#: 16944
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/1/2014
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AS
APA SECURITIES, LLC
APA SECURITIES, LLC | UPRR SECURITIES, LLC | SHAREHOLDER SOLUTIONS (ACS), LLC | KEANE FINANCIAL, LLC

CRD#: 133615 / SEC#: , 8-66745

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
920 Sylvan Avenue, Suite 240, Englewood Cliffs, NJ 07632
Mailing Address
920 Sylvan Avenue, Suite 240, Englewood Cliffs, NJ 07632
Phone number
(212) 971-3333
Established
Delaware since 07/30/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ABANDONED PROPERTY ADVISORS, LLCMEMBER
PRENDERGAST, MICHAEL JOHNCHIEF COMPLIANCE OFFICER / CFO4962908
YEATES, RICHARD JOSEPHPRESIDENT5909324

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.

Company Information

APA SECURITIES, LLC

CRD#: 133615Englewood Cliffs, NJ 07632

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