William G. 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.
William George Nelson, who also goes by Bill Nelson, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1975. William had worked at 12 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2000 - July 29, 2002
UBS FINANCIAL SERVICES INC.
February 9, 1996 - November 20, 2000
STIFEL, NICOLAUS & COMPANY, INCORPORATED
May 25, 1994 - March 8, 1996
FIFTH THIRD SECURITIES, INC.
August 28, 1991 - June 23, 1994
ROBERT W. BAIRD & CO. INCORPORATED
August 28, 1991 - June 23, 1994
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 8, 1991 - August 19, 1991
REALTA EQUITIES, INC.
February 5, 1988 - May 17, 1991
GUARDIAN INVESTOR SERVICES LLC
August 5, 1986 - December 15, 1986
VESTAX SECURITIES CORPORATION
July 6, 1984 - February 10, 1988
CARILLON INVESTMENTS, INC.
November 18, 1980 - October 17, 1983
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
March 23, 1976 - October 30, 1980
THE O.N. EQUITY SALES COMPANY
July 18, 1975 - April 9, 1976
HORANG SECURITIES, LLC
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
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: 7/12/1975
Registered Representative ExaminationCurrent Firm
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
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.
