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MN

Michael D. Nelson

UNITED CAPITAL MARKETS
Miami, FL 33133
Some features on this profile are disabled
CRD#: 6549497
MN

Professional summary

Michael Douglas Nelson is a registered financial professional currently at UNITED CAPITAL MARKETS, INC. located in Miami, Florida.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2015. Michael has worked at 1 firm and has passed the Series 63, SIE, Series 57, Series 7, Series 99 and Series 28 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Douglas Nelson's CRS (Customer Relationship Summary).
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

November 20, 2015 - Present

UNITED CAPITAL MARKETS, INC.

Office #1: 2665 S. Bayshore Dr. Phe1, Miami, FL 33133
BD
CRD#: 40980
Miami, FL

State Registrations and Notice Filings

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

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
Florida
(8/25/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 11/19/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 57
Date: 9/24/2018
Securities Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/25/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99
Date: 11/20/2015
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 28
Date: 11/19/2019
Introducing Broker/Dealer Financial Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

UC
UNITED CAPITAL MARKETS, INC.
TRUSTCAP SECURITIES GROUP, INC. | UNITED CAPITAL MARKETS, INC.

CRD#: 40980 / SEC#: , 8-49253

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

Main Address
2665 S. Bayshore Dr. Phe 1, Miami, FL 33133
Mailing Address
2665 S. Bayshore Dr. Phe 1, Miami, FL 33133
Phone number
(305) 365-0527
Established
Florida since 03/19/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (41 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
UNITED CAPITAL MARKETS HOLDINGS, INC.SHAREHOLDER
BEZZINA, CATHERINECCO,AML OFFICER,DEO1288036
DEVANEY, DENNIS JOHNCO-CCO, COO, GP, CEO, PRESIDENT, HEAD TRADER2537936
NELSON, MICHAEL DOUGLASCFO, FINOP6549497

Disclosures

Regulatory Event2

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

UNITED CAPITAL MARKETS, INC.

CRD#: 40980Miami, FL 33133

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