Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Allan Nelson is a financial advisor at UBS Financial Services Inc. with over 28 years of experience in the industry. Richard has a Series 7, Series 63, and Series 65 license and is registered in 14 states. Richard has previously worked at WELLS FARGO ADVISORS, LLC, MCDONALD INVESTMENTS INC., KEY INVESTMENTS INC., PIPER JAFFRAY INC., and SMITH BARNEY INC. Richard is dedicated to providing financial planning, portfolio management, and investment advice to individuals and families.
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.
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.
See schedule d - miscellaneous
1
2
WA
08/18/2011 - Present
UBS Financial Services Inc. (SEATTLE WA)
WA
02/18/2011 - 08/19/2011
WELLS FARGO ADVISORS, LLC (SEATTLE WA)
NJ
02/09/2007 - 02/25/2011
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
WA
05/14/1999 - 02/09/2007
MCDONALD INVESTMENTS INC. (SEATTLE WA)
OH
12/20/1996 - 05/14/1999
KEY INVESTMENTS INC. (CLEVELAND OH)
MN
09/08/1995 - 12/17/1996
PIPER JAFFRAY INC. (MINNEAPOLIS MN)
NY
08/13/1993 - 10/02/1995
SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 08/31/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/12/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/10/1993
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Richard Nelson is the right advisor for you? Invested Better is here to help.
