Richard J. Profita

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CRD#: 848517

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.

Richard John Profita was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1978. Richard had worked at 13 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 2, 2010 - January 2, 2013

MARTIN NELSON & CO., INC.

CRD#: 2903

SEATTLE, WA

Past

November 6, 2009 - March 5, 2010

WELLS FARGO SECURITIES, LLC

CRD#: 126292

CHARLOTTE, NC

Past

May 22, 2006 - November 6, 2009

WELLS FARGO BROKERAGE SERVICES, L.L.C.

CRD#: 16100

MINNEAPOLIS, MN

Past

May 22, 2006 - February 8, 2010

WELLS FARGO INSTITUTIONAL SECURITIES, LLC

CRD#: 5958

CHARLOTTE, NC

Past

November 17, 2005 - January 12, 2006

SALOMON GREY FINANCIAL CORPORATION

CRD#: 43413

CHICAGO, IL

Past

February 25, 2004 - July 15, 2005

REGAL SECURITIES, INC.

CRD#: 7297

GLENVIEW, IL

Past

October 4, 2002 - February 26, 2004

ABN AMRO INCORPORATED

CRD#: 15776

STAMFORD, CT

Past

January 31, 1997 - February 8, 2002

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

October 14, 1993 - January 27, 1997

ABN AMRO SECURITIES LLC

CRD#: 6540

NEW YORK, NY

Past

November 22, 1991 - September 14, 1993

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

November 5, 1985 - May 17, 1991

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

HOUSTON, TX

Past

November 9, 1983 - June 14, 1985

LEHMAN BROTHERS INC.

CRD#: 7506

Past

June 15, 1979 - July 8, 1983

FOSTER & MARSHALL INC.

CRD#: 321

Past

February 1, 1978 - June 24, 1979

THE CHICAGO CORPORATION

CRD#: 1449

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MARTIN NELSON & CO., INC.

CRD#: 2903 / SEC#: 801-123009, 8-831

RIA

Registered Investment Advisory firm - SEC (1/11/2022 Approved)

Oregon

Registered Investment Advisory firm - SEC (11/24/2020 Terminated)

Washington

Registered Investment Advisory firm - SEC (2/14/2022 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/31/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/21/1978

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/29/1988

General Securities Principal Examination

Current Firm

MARTIN NELSON & CO., INC.

CRD#: 2903 / SEC#: 801-123009, 8-831

RIA

Registered Investment Advisory firm - SEC (1/11/2022 Approved)

Oregon

Registered Investment Advisory firm - SEC (11/24/2020 Terminated)

Washington

Registered Investment Advisory firm - SEC (2/14/2022 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

1500 Westlake Ave N. Ste 200, Seattle, WA 98109-3031

Mailing Address

1500 Westlake Ave N. Ste 200, Seattle, WA 98109-3031

Phone number

(206) 682-6261

Established

Washington since 04/01/1954

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (9 States and Territories)

FINRA licenses (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2 2025 (2/4/2025)

Direct owners and executive officers

Name	Position	CRD#
NELSON, MARTIN OLIVER JR	PRESIDENT/CCO	346215
KOENIG, SABINE ERIKA REGINA	SECRETARY/TREASURER	3257471
MACARTNEY, SCOTT THOMAS	VICE PRESIDENT	7445713
NELSON, VICKI ANN	DIRECTOR	3203773
ROEBKE, FREDERIC LOUIS	VICE PRESIDENT	3257470

Regulatory assets under management

Total Number of Accounts	392
AUM (Assets Under Management)	$ 260,010,706

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Richard J. Profita

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WELLS FARGO SECURITIES, LLC

WELLS FARGO BROKERAGE SERVICES, L.L.C.

WELLS FARGO INSTITUTIONAL SECURITIES, LLC

SALOMON GREY FINANCIAL CORPORATION

REGAL SECURITIES, INC.

ABN AMRO INCORPORATED

CIBC WORLD MARKETS CORP.

ABN AMRO SECURITIES LLC

CIBC WORLD MARKETS CORP.

INVESCO CAPITAL MARKETS, INC.

LEHMAN BROTHERS INC.

FOSTER & MARSHALL INC.

THE CHICAGO CORPORATION

Primary Firm SEC Registration

MARTIN NELSON & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/31/1994

Series 7

Date: 1/21/1978

Series 24

Date: 7/29/1988

Current Firm

MARTIN NELSON & CO., INC.

Contact information

SEC notice filing (9 States and Territories)

FINRA licenses (18 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

MARTIN NELSON & CO., INC.

TRUST BUT VERIFY

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