Articles Tagged with Craig Nelson

Craig NelsonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 1, 2019 indicate that former Utah-based LPL Financial broker/adviser Craig Nelson, who has received customer disputes, was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Nelson (CRD# 2536023).

Craig Nelson has spent 24 years in the securities industry and was most recently registered with LPL Financial in St. George, Utah (2012-2019). Previous registrations include Financial Network Investment Corporation in Salt Lake City, Utah (2008-2011); Royal Alliance Associates in Salt Lake City, Utah (2002-2008); Signator Investors in Boston, Massachusetts (1994-2002); and John Hancock Mutual Life Insurance Company in Boston, Massachusetts (1994-1997). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 20, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 13, 1994; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on November 8, 2007; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 2, 1994. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received two customer complaints and two unsatisfied tax liens, and was recently discharged from a former employer in connection to alleged rule violations.