SN
Steven R. Nelson
PRINCIPAL ADVISED SERVICES
Maplewood, MN
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CRD#: 6930706
SN
Professional summary
Steven Robert Nelson, who also goes by Steven Nelson, is a registered financial advisor currently at PRINCIPAL ADVISED SERVICES located in Maplewood, Minnesota and PRINCIPAL SECURITIES, INC. located in Charlotte, North Carolina.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Steven has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven 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.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Robert 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®
NoneExperience
Current
August 7, 2024 - Present
PRINCIPAL ADVISED SERVICES
RIA
CRD#: 297324
Maplewood, MN
Current
April 22, 2021 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 401 Mccullough Dr Ste 210, Charlotte, NC 28262RIA
BD
CRD#: 1137
CHARLOTTE, NC
Past
July 20, 2023 - November 26, 2023
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
MAPLEWOOD, MN
Past
April 5, 2019 - April 8, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PA
PRINCIPAL ADVISED SERVICES
PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC
CRD#: 297324 / SEC#: 801-114432
RIA
Registered Investment Advisory firm - (12/14/2018 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(4/22/2021)
RR
Alaska(4/22/2021)
RR
Arizona(4/22/2021)
RR
Arkansas(4/22/2021)
RR
California(4/22/2021)
RR
Colorado(4/22/2021)
RR
Connecticut(4/22/2021)
RR
Delaware(4/22/2021)
RR
District of Columbia(4/22/2021)
RR
Florida(4/22/2021)
RR
Georgia(4/22/2021)
RR
Hawaii(4/22/2021)
RR
Idaho(4/22/2021)
RR
Illinois(4/22/2021)
RR
Indiana(4/22/2021)
RR
Iowa(4/22/2021)
IAR
Iowa(8/7/2024)
RR
Kansas(4/22/2021)
RR
Kentucky(4/22/2021)
RR
Louisiana(4/22/2021)
RR
Maine(4/22/2021)
RR
Maryland(4/22/2021)
RR
Massachusetts(4/22/2021)
RR
Michigan(4/22/2021)
RR
Minnesota(4/22/2021)
IAR
Minnesota(8/7/2024)
RR
Mississippi(4/22/2021)
RR
Missouri(4/22/2021)
RR
Montana(4/22/2021)
RR
Nebraska(4/22/2021)
RR
Nevada(4/22/2021)
RR
New Hampshire(4/22/2021)
RR
New Jersey(4/22/2021)
RR
New Mexico(4/22/2021)
RR
New York(4/22/2021)
RR
North Carolina(4/22/2021)
RR
North Dakota(4/22/2021)
RR
Ohio(4/22/2021)
RR
Oklahoma(4/22/2021)
RR
Oregon(4/22/2021)
RR
Pennsylvania(4/22/2021)
RR
Rhode Island(4/22/2021)
RR
South Carolina(4/22/2021)
RR
South Dakota(4/22/2021)
RR
Tennessee(4/22/2021)
RR
Texas(4/22/2021)
RR
Utah(4/22/2021)
RR
Vermont(4/22/2021)
RR
Virginia(4/22/2021)
RR
Washington(4/22/2021)
RR
West Virginia(4/22/2021)
RR
Wisconsin(4/22/2021)
RR
Wyoming(4/22/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/30/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 4/5/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PRINCIPAL ADVISED SERVICES
PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC
CRD#: 297324 / SEC#: 801-114432
RIA
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Contact information
Main Address
655 9th Street, Des Moines, IA 50309
Mailing Address
711 High Street, Des Moines, IA 50392
Phone number
(866) 412-0770
Established
Firm type
Fiscal year end
# of Employees
343
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 16,940 |
| AUM (Assets Under Management) | $ 887,316,440 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/20/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
