Nelson P. Chia
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.
Nelson Peter Chia was a registered financial professional .
Nelson is a previously registered financial professional and started their career in finance in 1975. Nelson had worked at 5 firms and has passed the Series 65, 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
April 8, 2004 - July 28, 2004
FINANCIAL TELESIS INC
October 11, 2000 - November 18, 2003
JRL CAPITAL CORPORATION
May 8, 1997 - February 9, 2000
JRL CAPITAL CORPORATION
August 4, 1986 - July 10, 1996
INVESTMENT ARCHITECTS, INC.
September 23, 1981 - July 21, 1986
NEW ENGLAND SECURITIES
August 1, 1975 - June 29, 1981
G. R. PHELPS & CO., 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: 7/24/1975
Registered Representative ExaminationCurrent Firm
FINANCIAL TELESIS INC
CRD#: 31012 / SEC#: 801-63974, 8-45304
Contact information
FINRA licenses (6 States and Territories)
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.
