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RICHARD LEE NELSON
CRD#: 1398739
IA
B
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 31 W. STUART AVENUE
SUITE 200
REDLANDS, CA 92374
SUITE 200
REDLANDS, CA 92374
0
Disclosures
39
Years of Experience
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State Registrations
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Arizona 6/20/2023
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Maryland 3/31/2023
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Arkansas 3/31/2023
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Montana 8/23/2023
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California 1/11/2016
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Nevada 3/31/2023
IA
California 1/11/2016
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New Mexico 4/20/2023
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Colorado 3/31/2023
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North Carolina 4/3/2023
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Florida 3/31/2023
B
Oregon 3/31/2023
B
Georgia 3/31/2023
IA
Texas 1/12/2016
B
Idaho 3/31/2023
B
Texas 4/3/2024
B
Iowa 3/31/2023
B
Washington 3/31/2023
B
Kentucky 5/15/2023
SRO Registrations
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IA
Registered with this firm since 1/11/2016
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Registered with this firm since 1/11/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2009 - 01/14/2016 | REDLANDS, CA | |
B | 06/01/2009 - 01/14/2016 | REDLANDS, CA | |
IA | 04/02/2007 - 06/01/2009 | REDLANDS, CA | |
B | 04/02/2007 - 06/01/2009 | REDLANDS, CA | |
IA | 12/12/1997 - 04/02/2007 | REDLANDS, CA | |
B | 10/03/1985 - 04/02/2007 | REDLANDS, CA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.