Broker Check

FOR INTERNAL USE AND NELSON SECURITIES EMPLOYEES ONLY.

COMPLIANCE HIGHLIGHTS

PRACTICE:

PROCEDURE:

  • Communications with the Public - Please keep your nelson-securities.com emails limited to business contacts. All emails are subject to review and archiving as per FINRA regulations
  • Know Your Customer - Financial info – the regulators are really using it to determine Reg BI compliance. Update prior to sending out CIP. If the client has $500k in total assets with us, take that into consideration regarding their net worth.

PAPERWORK: 

  • All of the kits have MAJOR updates as of AUG 2023. Make sure that you are not saving these kits elsewhere, but rather taking them directly from the intranet.
FINRA Disciplinary Actions

FORMS

Outside Business Activity Disclosure Form - 7/2018

Outside Account Request - 9/2016

    See Pat for 401k forms (beneficiary change, rollover, withdrawal, etc.)

    Email Shyla for changes to your 401k contribution.

New Hire