Carmel B. Exum
Professional summary
Carmel Bequia Exum is a registered financial advisor currently at NELSON SECURITIES,INC. located in San Diego, California.
Carmel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Carmel has worked at 1 firm and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Carmel Bequia Exum's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carmel Bequia Exum's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 11, 2021 - Present
NELSON SECURITIES,INC.
Office #1: 12555 High Bluff Drive Suite 390, San Diego, CA 92130June 26, 2023 - Present
NELSON SECURITIES,INC.
Office #1: 12555 High Bluff Drive Suite 390, San Diego, CA 92130Primary Firm SEC Registration
NELSON SECURITIES,INC.
CRD#: 14377 / SEC#: 801-41346, 8-30576
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/11/2021)
(6/26/2023)
Exams
Series 7TO
Date: 6/26/2023
General Securities Representative ExaminationFINRA
Current Firm
NELSON SECURITIES,INC.
CRD#: 14377 / SEC#: 801-41346, 8-30576
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,026 |
| AUM (Assets Under Management) | $ 271,967,129 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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