Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nelson? Claim Your ProfileNelson Ming Louie is a financial professional with over 13 years of experience in the financial services industry. Currently, Nelson is a registered representative with Alps Distributors, Inc. in Stamford, CT. Nelson holds a Series 3, Series 7TO, SIE, and Series 7 licenses and a Series 63 registration. Previously, Nelson was associated with Credit Suisse Securities (USA) LLC, UBS Securities LLC, and AIG Financial Securities Corp. in various roles and locations.
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.
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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CT
08/13/2024 - Present
Alps Distributors, Inc. (Stamford CT)
NY
08/16/2010 - 12/15/2020
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NY
05/07/2009 - 06/22/2010
UBS SECURITIES LLC (NEW YORK NY)
CT
01/18/2008 - 05/08/2009
AIG FINANCIAL SECURITIES CORP. (WILTON CT)
BC
Issued 05/20/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/03/2024
Series 3 - National Commodity Futures Examination
BC
Issued 10/19/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/17/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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