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Kristen Lynn Nelson

Capital Client Group, Inc.

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About Kristen Lynn Nelson

Kristen Lynn Nelson is a registered investment advisor representative and has been working in the financial services industry since 2006. Kristen is currently registered with Capital Client Group, Inc. and is licensed in California, Indiana, Michigan, Ohio, and Texas. Kristen is a Series 7, 6, 63, 65, 24 and 26 licensed professional. Previous employers include LPL Financial LLC, Financial Network Investment Corporation and Blue Vase Securities, LLC. Kristen has also worked for Oxford, Appirio and American Funds in the past.

Firm Information

Kristen Nelson is currently registered with Capital Client Group, Inc.. Capital Client Group, Inc. is a corporation established in 1972 and headquartered in Los Angeles, California. The firm provides various investment advisory services, including recommending affiliate as an investment advisor of SMA assets. They primarily serve corporations, individuals, insurance companies, investment companies, and other investment advisors. The firm is registered with the SEC and in 53 states.
Capital Client Group, Inc.

333 SOUTH HOPE STREET

LOS ANGELES, CA 90071-1406

Not reported

Assets Under Management

Not reported

Total Clients

619

Total Financial Advisors

Services Offered

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.

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recommending affiliate as investment adviser of sma assets

Recommending affiliate as investment adviser of sma assets

Fee Structure

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.

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other

As agreed upon in a manner that covers registrant's costs

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Kristen Nelson’s Registration & Firm History

IN

10/26/2018 - Present

Capital Client Group, Inc. (Brownsburg IN)

IN

10/05/2006 - 03/08/2012

LPL FINANCIAL LLC (AUBURN IN)

IN

10/24/2005 - 09/07/2006

FINANCIAL NETWORK INVESTMENT CORPORATION (FORT WAYNE IN)

PA

11/22/2004 - 10/24/2005

BLUE VASE SECURITIES, LLC (WASHINGTON PA)

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Licenses & Designations

IA

Issued 10/26/2018

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/27/2018

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 01/27/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/29/2021

Series 24 - General Securities Principal Examination

BC

Issued 12/23/2019

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 11/02/2020

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/15/2018

Series 6 - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 11/20/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Kristen Lynn Nelson.
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