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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nelson? Claim Your ProfileNelson Spiess is a financial advisor with over 40 years of experience in the industry. Nelson currently works with Morgan Stanley in New York, New York. Prior to joining Morgan Stanley, Nelson was a financial advisor with RBC CAPITAL MARKETS, LLC, UBS INTERNATIONAL INC., UBS PAINEWEBBER INC., LEHMAN BROTHERS INC., and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Nelson is registered with FINRA and holds Series 3, 7, and 63 licenses, as well as the SIE and Series 65 exams. Nelson also specializes in providing financial advice to a wide range of clients, including high-net-worth individuals, corporations, and charitable organizations.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
05/18/2020 - Present
Morgan Stanley (New York NY)
NY
03/13/2009 - 01/30/2015
RBC CAPITAL MARKETS, LLC (NEW YORK NY)
NY
06/03/2002 - 03/26/2009
UBS INTERNATIONAL INC. (NEW YORK NY)
NJ
11/13/1998 - 06/03/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
05/17/1988 - 11/30/1998
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
10/11/1983 - 05/11/1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
03/21/1979 - 03/17/1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 05/13/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/26/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/1988
Series 3 - National Commodity Futures Examination
BC
Issued 02/17/1979
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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