CN
Chris A. Nelson
VANDERBILT ADVISORY SERVICES
Yardley, PA
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CRD#: 868050
CN
Professional summary
Chris Alfred Nelson is a registered financial advisor currently at VANDERBILT ADVISORY SERVICES located in Yardley, Pennsylvania and VANDERBILT SECURITIES, LLC located in Yardley, Pennsylvania.
Chris is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Chris has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) INTERCOLLEGIATE TENNIS ASSOCIATION. Investment related. Start date: 02/15/2010. Address: 1259 Bridle Estates Drive, Yardley PA, 19067. Title: Official. Duties: Investment Advisor Representative. Time spent during regular hours: 100% 2) AFTON CAPITAL MANAGEMENT. Investment related. Start date: 11/21/2003. Address: 1259 Bridle Estates Drive, Yardley PA, 19067. Title: President. Duties: Investment Advisor Representative. Time spent during regular hours: 100%
CRS (Client Relationship Summary) - RIA
Click below to view Chris Alfred Nelson's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 23, 2019 - Present
VANDERBILT ADVISORY SERVICES
RIA
CRD#: 116537
Yardley, PA
Current
September 23, 2019 - Present
VANDERBILT SECURITIES, LLC
BD
CRD#: 5953
Yardley, PA
Past
December 1, 2003 - October 18, 2019
CANTELLA & CO., INC.
RIA
CRD#: 13905
YARDLEY, PA
Past
November 28, 2003 - October 18, 2019
CANTELLA & CO., INC.
BD
CRD#: 13905
YARDLEY, PA
Past
June 26, 2002 - December 16, 2003
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
PRINCETON, NJ
Past
March 9, 2002 - December 16, 2003
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
October 7, 1994 - March 9, 2002
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
Past
August 16, 1991 - October 17, 1994
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
December 21, 1989 - February 13, 1990
BNY MELLON CAPITAL MARKETS, LLC
BD
CRD#: 17454
NEW YORK, NY
Past
April 2, 1986 - September 23, 1988
LORD WILLIAMS & BUTTARI INCORPORATED
BD
CRD#: 16399
Past
August 16, 1982 - December 20, 1984
INVESTORS SECURITY COMPANY, INC.
BD
CRD#: 2331
Past
January 31, 1980 - August 2, 1982
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
June 26, 1979 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
BD
CRD#: 6361
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".
VA
VANDERBILT ADVISORY SERVICES
4KAST ADVISORS LLC | WORDEN WEALTH MANAGEMENT | WILLIAMS CAPITAL CORPORATION | WEALTH MARK ADVISORY SERVICES | WEALTH MANAGEMENT STRATEGIES | WCM FINANCIAL MANAGEMENT | WARD FINANCIAL | WALSH FINANCIAL SOLUTIONS | VANDERBILT FINANCIAL GROUP WESTPORT | VANDERBILT ADVISORY SERVICES | THE RETIREMENT OPTIMIZATION GROUP | TAVERNIER WEALTH MANAGEMENT | TASK FORCE INVESTMENTS | STERLING CAPITOL LLC | SQUAW ISLAND LLC. | SKYE HARBOR FINANCIAL | SENTIGENT FINANCIAL SOLUTIONS, LLC | SENIOR WEALTH MANAGEMENT, INC. | RAINBOW INVESTMENT SOLUTIONS | QUALITY FINANCIAL CONCEPTS | PREMAC WEALTH MANAGEMENT | PREFERRED FINANCIAL GROUP | PFG INVESTMENTS, LLC | MOREAU FINANCIAL PLANNING | MMS ASSET MANAGEMENT | MASTERPIECE FINANCIAL GROUP | LUNARIA FINANCIAL | KT WEALTH MANAGEMENT | KING PLAN ADVISORY GROUP | KEYSTONE FINANCIAL EDGE INC | JACK CHITE & ASSOCIATES | J. BROWER & ASSOCIATES | INFINITE INVESTMENT STRATEGIES LLC | ILN SECURITIES LLC | HIRSCH ASSOCIATES | HARBORWISE FINANCIAL | HANSEN'S ADVISORY SERVICES | GRYPHON ASSET MANAGEMENT | GREENVEST | GARDINER PRIVATE WEALTH MANAGEMENT | FORTRESS WEALTH SOLUTIONS, LLC | FAVA WEALTH MANAGEMENT | EVANS GROUP FINANCIAL ADVISORS | ENDEAVOR FINANCIAL GROUP | EMPOWERED INVESTMENTS | CURBELO WEALTH MANAGEMENT GROUP LLC | CORNELIUS ASSET MANAGEMENT | CORE VALUE INVESTMENT GROUP | COMMON INTERESTS | CJW FINANCIAL SERVICES | CHASE KELLY | CHAMBERLAIN GROUP | CENTERED WEALTH | BRIN FINANCIAL | BAKER WEALTH MANAGEMENT | ARK FINANCIAL | AMERICAN CENTURION FINANCIAL | ALPHA WAVE ADVISORS | AFTON CAPITAL MANAGEMENT | ABUNDANCE WEALTH SOLUTIONS
CRD#: 116537 / SEC#: 801-77166
RIA
Registered Investment Advisory firm - (10/23/2012 Approved)California
Registered Investment Advisory firm - (11/5/2012 Terminated)Connecticut
Registered Investment Advisory firm - (11/27/2012 Terminated)Florida
Registered Investment Advisory firm - (10/31/2012 Terminated)Georgia
Registered Investment Advisory firm - (11/2/2012 Terminated)Indiana
Registered Investment Advisory firm - (10/31/2012 Terminated)Maryland
Registered Investment Advisory firm - (11/15/2012 Terminated)Massachusetts
Registered Investment Advisory firm - (10/31/2012 Terminated)Minnesota
Registered Investment Advisory firm - (10/31/2012 Terminated)New Jersey
Registered Investment Advisory firm - (11/28/2012 Terminated)New York
Registered Investment Advisory firm - (10/31/2012 Terminated)Ohio
Registered Investment Advisory firm - (12/7/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/1/2012 Terminated)South Carolina
Registered Investment Advisory firm - (10/31/2012 Terminated)Texas
Registered Investment Advisory firm - (10/31/2012 Terminated)Virginia
Registered Investment Advisory firm - (10/31/2012 Terminated)West Virginia
Registered Investment Advisory firm - (10/31/2012 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(9/23/2019)
RR
California(9/23/2019)
RR
Delaware(9/23/2019)
RR
Florida(9/23/2019)
RR
Minnesota(9/23/2019)
RR
New Jersey(9/23/2019)
RR
New York(1/7/2022)
RR
Oregon(9/23/2019)
RR
Pennsylvania(9/23/2019)
IAR
Pennsylvania(9/23/2019)
RR
Virginia(4/8/2022)
RR
Washington(9/23/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 12/12/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VA
VANDERBILT ADVISORY SERVICES
4KAST ADVISORS LLC | WORDEN WEALTH MANAGEMENT | WILLIAMS CAPITAL CORPORATION | WEALTH MARK ADVISORY SERVICES | WEALTH MANAGEMENT STRATEGIES | WCM FINANCIAL MANAGEMENT | WARD FINANCIAL | WALSH FINANCIAL SOLUTIONS | VANDERBILT FINANCIAL GROUP WESTPORT | VANDERBILT ADVISORY SERVICES | THE RETIREMENT OPTIMIZATION GROUP | TAVERNIER WEALTH MANAGEMENT | TASK FORCE INVESTMENTS | STERLING CAPITOL LLC | SQUAW ISLAND LLC. | SKYE HARBOR FINANCIAL | SENTIGENT FINANCIAL SOLUTIONS, LLC | SENIOR WEALTH MANAGEMENT, INC. | RAINBOW INVESTMENT SOLUTIONS | QUALITY FINANCIAL CONCEPTS | PREMAC WEALTH MANAGEMENT | PREFERRED FINANCIAL GROUP | PFG INVESTMENTS, LLC | MOREAU FINANCIAL PLANNING | MMS ASSET MANAGEMENT | MASTERPIECE FINANCIAL GROUP | LUNARIA FINANCIAL | KT WEALTH MANAGEMENT | KING PLAN ADVISORY GROUP | KEYSTONE FINANCIAL EDGE INC | JACK CHITE & ASSOCIATES | J. BROWER & ASSOCIATES | INFINITE INVESTMENT STRATEGIES LLC | ILN SECURITIES LLC | HIRSCH ASSOCIATES | HARBORWISE FINANCIAL | HANSEN'S ADVISORY SERVICES | GRYPHON ASSET MANAGEMENT | GREENVEST | GARDINER PRIVATE WEALTH MANAGEMENT | FORTRESS WEALTH SOLUTIONS, LLC | FAVA WEALTH MANAGEMENT | EVANS GROUP FINANCIAL ADVISORS | ENDEAVOR FINANCIAL GROUP | EMPOWERED INVESTMENTS | CURBELO WEALTH MANAGEMENT GROUP LLC | CORNELIUS ASSET MANAGEMENT | CORE VALUE INVESTMENT GROUP | COMMON INTERESTS | CJW FINANCIAL SERVICES | CHASE KELLY | CHAMBERLAIN GROUP | CENTERED WEALTH | BRIN FINANCIAL | BAKER WEALTH MANAGEMENT | ARK FINANCIAL | AMERICAN CENTURION FINANCIAL | ALPHA WAVE ADVISORS | AFTON CAPITAL MANAGEMENT | ABUNDANCE WEALTH SOLUTIONS
CRD#: 116537 / SEC#: 801-77166
RIA
Registered Investment Advisory firm - (10/23/2012 Approved)California
Registered Investment Advisory firm - (11/5/2012 Terminated)Connecticut
Registered Investment Advisory firm - (11/27/2012 Terminated)Florida
Registered Investment Advisory firm - (10/31/2012 Terminated)Georgia
Registered Investment Advisory firm - (11/2/2012 Terminated)Indiana
Registered Investment Advisory firm - (10/31/2012 Terminated)Maryland
Registered Investment Advisory firm - (11/15/2012 Terminated)Massachusetts
Registered Investment Advisory firm - (10/31/2012 Terminated)Minnesota
Registered Investment Advisory firm - (10/31/2012 Terminated)New Jersey
Registered Investment Advisory firm - (11/28/2012 Terminated)New York
Registered Investment Advisory firm - (10/31/2012 Terminated)Ohio
Registered Investment Advisory firm - (12/7/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/1/2012 Terminated)South Carolina
Registered Investment Advisory firm - (10/31/2012 Terminated)Texas
Registered Investment Advisory firm - (10/31/2012 Terminated)Virginia
Registered Investment Advisory firm - (10/31/2012 Terminated)West Virginia
Registered Investment Advisory firm - (10/31/2012 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
125 Froehlich Farm Blvd., Woodbury, NY 11797
Mailing Address
Phone number
(631) 845-5100
Established
Firm type
Fiscal year end
# of Employees
161
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,470 |
| AUM (Assets Under Management) | $ 2,111,673,883 |
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.
