David C. 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.
David Charles Nelson was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1975. David had worked at 3 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2003 - December 31, 2019
MUTUAL FUND MANAGEMENT SYSTEMS INC.
March 26, 1980 - December 10, 1992
INVESTORS SECURITY COMPANY, INC.
June 19, 1975 - April 17, 1980
IRG SECURITIES, INC.
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 1
Date: 6/17/1975
Registered Representative ExaminationCurrent Firm
MUTUAL FUND MANAGEMENT SYSTEMS INC.
CRD#: 115521 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 37 |
| AUM (Assets Under Management) | $ 3,507,060 |
Red Flags
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