Individual Firm
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Brian T Nelan
BRIAN TIMOTHY NELAN, BRIAN NELAN
CRD#: 4859531
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FOUNDERS FINANCIAL ALLIANCE, LLCCRD#: 173011 2500 Regency Parkway
Cary, NC 27518
Cary, NC 27518
0
Disclosures
17
Years of Experience
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State Registrations
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North Carolina 11/8/2018
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Registered with this firm since 11/8/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/20/2016 - 11/08/2018 | CARY, NC | |
B | 04/28/2016 - 11/08/2018 | CARY, NC | |
B | 11/07/2013 - 07/30/2015 | NEW YORK, NY | |
B | 11/03/2004 - 02/28/2012 | NEW YORK, NY |
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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.
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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.