Jeffrey M. 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.
Jeffrey Martin Nelson, who also goes by Jeff Nelson, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1979. Jeffrey had worked at 8 firms and has passed the Series 63, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 1992 - October 6, 1992
WESTCAP SECURITIES, L.P.
February 13, 1992 - October 6, 1992
WESTCAP GOVERNMENT SECURITIES, INC.
June 12, 1991 - February 18, 1992
CIBC WORLD MARKETS CORP.
October 16, 1990 - June 13, 1991
WELLS FARGO CLEARING SERVICES, LLC
April 10, 1987 - November 13, 1990
CIBC WORLD MARKETS CORP.
September 30, 1985 - April 14, 1987
PRINCIPAL FINANCIAL SECURITIES,INC.
April 19, 1982 - August 23, 1985
ROTAN MOSLE INC.
June 4, 1980 - May 12, 1982
E. F. HUTTON & COMPANY INC
August 28, 1979 - August 7, 1980
PRUDENTIAL EQUITY GROUP, LLC
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 5
Date: 10/5/1981
Interest Rate Options ExaminationSeries 8
Date: 6/18/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WESTCAP SECURITIES, L.P.
CRD#: 7301 / SEC#: , 8-21287
Contact information
Documents
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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