Colby H. 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.
Colby Heritage Nelson, who also goes by Colby H. Nelson, was a registered financial professional .
Colby is a previously registered financial professional and started their career in finance in 2020. Colby had worked at 3 firms and has passed the Series 63, Series 99TO, Series 19, Series 57TO, Series 7TO, SIE and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2024 - October 31, 2024
LUCID CAPITAL MARKETS, LLC
July 18, 2022 - February 21, 2023
TRADEMAS INC.
September 1, 2020 - June 16, 2022
THINKEQUITY LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 19
Date: 8/4/2021
NYSE Floor Clerk - Equities ExaminationSeries 57TO
Date: 3/29/2021
Securities Trader ExamSeries 7TO
Date: 9/1/2020
General Securities Representative ExaminationCurrent Firm
LUCID CAPITAL MARKETS, LLC
CRD#: 140345 / SEC#: , 8-67305
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
