Leah 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.
Leah Nelson was a registered financial professional .
Leah is a previously registered financial professional and started their career in finance in 2018. Leah had worked at 3 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2023 - March 25, 2025
DEL-SETTE CAPITAL MANAGEMENT, LLC
April 30, 2018 - October 16, 2020
SMEDLEY FINANCIAL SERVICES INC
March 19, 2018 - October 15, 2020
SECURITIES AMERICA, INC.
Primary Firm SEC Registration
DEL-SETTE CAPITAL MANAGEMENT, LLC
CRD#: 159052 / SEC#: 801-79849
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 7TO
Date: 6/4/2024
General Securities Representative ExaminationCurrent Firm
DEL-SETTE CAPITAL MANAGEMENT, LLC
CRD#: 159052 / SEC#: 801-79849
Contact information
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 680 |
| AUM (Assets Under Management) | $ 145,817,030 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/03/2025 | ||
| 01/31/2025 | ||
| 11/02/2023 | ||
| 01/30/2023 |
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.
