Thor Nelson has been Chief Compliance Officer of Alliance Investment Management since October 2009, is a control person of the firm and directly owns under 5% of it.
Alliance Investment Management, LLC is a Jenison, MI firm with $207M under management, 170 clients and 3 advisers in one office, as of its March 2026 filing.
Thor Nelson’s longest registration is the current one, 16 years at Alliance Investment Management since 2010. Before joining Alliance Investment Management in 2010, Thor Nelson was registered through Smith & Associates Investment Management Services.
- – present · 16 yearsJenison, MI · Adviser representative · Firm CRD 152012
- Smith & Associates Investment Management Services– · 2 yearsHolland, MI · Adviser representative · Firm CRD 107093
Investment adviser representative registrations
Thor Nelson is registered as an investment adviser representative in 2 states. The first approvals date from May 2010; the most recent is Wisconsin, in August 2016.
- MichiganSince 3 May 2010
- WisconsinSince 16 August 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 19 April 2010 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Thor William Nelson
- CRD
- 4621175
- Firm
- Alliance Investment Management · CRD 152012
- Role
- Chief Compliance Officer
- Office
- 507 BALDWIN ST, Jenison, MI 49428
- Registration
- Investment adviser registration
- In the industry since
- May 2007
- Disciplinary history
- Not yet shown here · SEC record
Where does Thor Nelson work?
Thor Nelson has been Chief Compliance Officer of Alliance Investment Management, LLC since October 2009, and is a control person of the firm.
Is Thor Nelson a financial advisor?
Yes. Thor Nelson has a current investment-adviser registration in Michigan and Wisconsin, through Alliance Investment Management since May 2010.
How many years of experience does Thor Nelson have?
Thor Nelson has 19 years in the financial industry, since May 2007, across 2 adviser firms.
What exams has Thor Nelson passed?
Thor Nelson passed the Series 65 in April 2010.
Where did Thor Nelson work before Alliance Investment Management?
Before Alliance Investment Management, Thor Nelson was registered through Smith & Associates Investment Management Services, January 2003 to December 2005.
Where is Thor Nelson based?
Thor Nelson’s registered office is in Jenison, MI.
Is Thor Nelson registered with FINRA?
No. Thor Nelson has no current broker registration.
How can I verify Thor Nelson’s record?
Search CRD 4621175 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Thor Nelson’s full registration record.