Ronald V. 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.
Ronald Vail Nelson was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1975. Ronald had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2001 - October 31, 2016
FIRST HEARTLAND CAPITAL, INC.
December 12, 1997 - August 21, 2001
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 23, 1989 - December 19, 1997
SECURITIES AMERICA, INC.
March 23, 1982 - October 25, 1989
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
November 20, 1975 - January 3, 1982
ARM SECURITIES CORPORATION
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: 11/12/1975
Registered Representative ExaminationCurrent Firm
FIRST HEARTLAND CAPITAL, INC.
CRD#: 32460 / SEC#: , 8-46008
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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