James NelsonCRD Number: 5925272
Current Firm: Usaa Financial Planning Services
James Nelson (CRD# 5925272) is an Investment Advisor Representative working at Usaa Financial Planning Services in Phoenix, AZ and has over 6 years of experience in the finance industry.
Householder Group Estate & Retirement Specialists
Woodbury Financial Services, Inc.
Triad Advisors, Inc.
|Usaa Financial Planning Services||Phoenix, AZ||Aug 2013 - Current||4|
|Usaa Financial Advisors Inc.||Phoenix, AZ||Aug 2013 - Current||4|
|Driving Force Automotive||Tempe, AZ||Dec 2006 - Current||11|
|Merrill Lynch, Pierce, Fenner & Smith Inc.||Charlotte, NC||Aug 2013 - Aug 2013||< 1|
|Axa Advisors, LLC||New York, NY||Jun 2011 - Jul 2013||2|
|Big Tool Manufacturing||Anaheim, CA||Nov 2010 - May 2011||< 1|
|Vironex||Santa Ana, CA||Nov 2010 - May 2011||< 1|
|Unemployed||Gilbert, AZ||Sep 2010 - Nov 2010||< 1|
|U-haul International||Tempe, AZ||May 2010 - Aug 2010||< 1|
|Sprouts Farmers Market||Phoenix, AZ||Jan 2010 - May 2010||< 1|
|Self Employed||Gilbert, AZ||Sep 2007 - Dec 2009||2|
|Driving Force Automotive||Gilbert, AZ||Dec 2006 - Sep 2007||< 1|
|Phoenix Motor Company||Phoenix, AZ||Sep 2005 - Nov 2006||1|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Oct 2011|
|S66||NASAA Uniform Combined State Law Examination||Oct 2013|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
Total Assets Under Management0MILLIONS
Total Number of Accounts0ACCOUNTS
Average Account Value$0
- Financial planning services
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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