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Investment Adviser Firm Summary

NELSON SECURITIES,INC. (CRD# 14377 / SEC# 8-30576, 801-41346)
Alternate Names: NELSON INSURANCE AGENCY , NELSON SECURITIES,INC. , WEALTH ASSET MANAGERS

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 05/07/1992

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 09/22/2003
Alaska 04/30/2004
Arizona 04/27/2004
Arkansas 09/08/1992
California 07/08/1997
Colorado 09/16/2004
Connecticut 09/30/1997
Delaware 09/22/2003
District of Columbia 06/28/2001
Florida 07/27/1992
Georgia 08/10/1992
Hawaii 09/16/2004
Idaho 12/07/1992
Illinois 10/31/1997
Indiana 08/24/1992
Iowa 01/01/1999
Kansas 12/17/1997
Kentucky 09/16/2004
Louisiana 10/31/2001
Maine 10/18/1992
Maryland 11/16/1992
Massachusetts 09/16/2004
Michigan 06/28/2001
Minnesota 01/01/1993
Mississippi 11/17/1997
Missouri 10/09/1992
Montana 04/27/2004
Nebraska 08/18/1997
Nevada 08/04/1992
New Hampshire 11/02/1992
New Jersey 11/06/1992
New Mexico 08/17/1992
New York 02/10/1993
North Carolina 03/23/2001
Ohio 07/08/1999
Oklahoma 01/01/1998
Oregon 09/16/2004
Pennsylvania 09/16/2004
Rhode Island 08/14/1992
South Carolina 03/23/2001
South Dakota 08/10/1992
Tennessee 10/29/2001
Texas 05/14/1986
Utah 08/06/1992
Vermont 02/26/1996
Virginia 09/11/1992
Washington 09/09/1992
West Virginia 09/04/1992
Wisconsin 03/07/1996

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser