Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patricia? Claim Your ProfilePatricia Halterman Nelson is a financial advisor at Raymond James Financial Services Advisors, Inc. She has been in the financial services industry since 1996 and is registered with the state of Utah. Patricia is a Series 66 and Series 63 licensed professional, holding designations such as Series 9, Series 10, Series 31, and Series 7. She provides a range of services, including financial planning, pension consulting, educational seminars, selection of other advisors, and portfolio management for businesses and individuals. Patricia has also been involved in various other businesses over the years, including agriculture and supporting other financial companies.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
UT
10/29/2012 - Present
Raymond James Financial Services Advisors, Inc. (Draper UT)
UT
06/01/2009 - 11/06/2012
MORGAN STANLEY (SALT LAKE CITY UT)
UT
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SALT LAKE CITY UT)
UT
06/09/2003 - 04/02/2007
MORGAN STANLEY DW INC. (SALT LAKE CITY UT)
NY
10/24/1996 - 09/06/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 03/17/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/07/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/12/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/30/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/31/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 10/23/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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