Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Richard Nelson is a registered investment advisor representative with LPL Financial LLC. David has been in the industry since 1993 and has held previous positions with firms including WM Financial Services, Inc., Raymond James Financial Services, Inc., and First Associated Securities Group, Inc. David is a registered representative in 23 states and holds multiple licenses and qualifications including Series 6, 7, 24, 63 and 66. David is committed to providing comprehensive financial planning and investment management services to his clients.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
05/04/2018 - Present
LPL Financial LLC (REDDING CA)
CA
10/03/2002 - 10/07/2004
WM FINANCIAL SERVICES, INC. (IRVINE CA)
FL
09/01/2000 - 10/04/2002
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)
WI
12/20/1996 - 09/01/2000
INVEST FINANCIAL CORPORATION (APPLETON WI)
CA
12/21/1994 - 12/31/1996
FIRST ASSOCIATED SECURITIES GROUP, INC. (CHICO CA)
CA
02/09/1993 - 12/15/1994
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
BOTH
Issued 05/04/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/05/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/10/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/28/1994
Series 7 - General Securities Representative Examination
BC
Issued 02/05/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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