{"url":"https://nivawealth.com/firms/nelson-securities-inc-14377","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/14377","regulatoryAum":321863711,"crd":"14377","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1539918","suffix":null,"lastName":"EARTHMAN","firstName":"AREALOUS","middleName":"CLAYTON"},{"crd":"7395532","suffix":null,"lastName":"EXUM","firstName":"CARMEL","middleName":"BEQUIA"},{"crd":"2907890","suffix":"JR","lastName":"GARCIA","firstName":"ENRIQUE","middleName":"MALDONADO"},{"crd":"1030518","suffix":null,"lastName":"KELLER","firstName":"STEVEN","middleName":"THOMAS"},{"crd":"2080954","suffix":null,"lastName":"MILLER","firstName":"JEFFERY","middleName":"SCOTT"},{"crd":"2245236","suffix":"JR","lastName":"NELSON","firstName":"ROBERT","middleName":"OWEN"},{"crd":"2716213","suffix":null,"lastName":"NEWMAN","firstName":"SCOTT","middleName":"PATRICK"},{"crd":"1800271","suffix":null,"lastName":"PRICE","firstName":"RUSSELL","middleName":"RAYMOND"},{"crd":"2245155","suffix":null,"lastName":"VOSE","firstName":"DAVID","middleName":"ALLEN"}],"total":9,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2020-08-17","regulatoryAum":160420766,"clients":1870,"employees":15,"offices":3},{"filedOn":"2022-07-21","regulatoryAum":185825249,"clients":2022,"employees":15,"offices":2},{"filedOn":"2023-09-02","regulatoryAum":213135029,"clients":2049,"employees":15,"offices":2},{"filedOn":"2025-07-21","regulatoryAum":271967129,"clients":2023,"employees":15,"offices":2},{"filedOn":"2026-09-05","regulatoryAum":321863711,"clients":2003,"employees":15,"offices":2}],"secFileNumber":"801-41346","legalName":"Nelson Securities,inc.","displayName":"Nelson Securities,inc.","slug":"nelson-securities-inc-14377","website":"https://nelsonsecurities.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Washington corporation","fiscalYearEnd":"June","headquarters":{"street":"7307 N. 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They include 1,996 individuals and 7 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 5 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Nelson Securities,inc. offer?","answer":"Nelson Securities,inc. provides portfolio management for individuals and small businesses and publishing newsletters.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Nelson Securities,inc. use?","answer":"Nelson Securities,inc.’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $213M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 5 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Nelson Securities,inc. have?","answer":"Nelson Securities,inc. has 9 investment adviser representatives registered with state securities authorities, out of 15 employees, and 9 perform investment advisory functions. 11 employees are registered representatives of a broker-dealer and 7 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Nelson Securities,inc. invest in?","answer":"At the end of its last fiscal year, Nelson Securities,inc.’s separately managed accounts held 95% exchange-traded equities, 3% registered funds (mutual funds, ETFs, BDCs) and 2% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Nelson Securities,inc.?","answer":"Nelson Securities,inc.’s direct owner is Robert Owen Jr Nelson (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 5 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Nelson Securities,inc. get paid?","answer":"Nelson Securities,inc. is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Nelson Securities,inc.?","answer":"Nelson Securities,inc.’s main office is at 7307 N. Division St., Suite 220, Spokane, WA 99208. Its phone number is 509-838-1313. Its website is nelsonsecurities.com.","source":"Form ADV Part 1A, Item 1.F, filed 5 September 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}