Nelson & Associates
700 N 3rd Street
Suite 201
LaCrosse, WI 54601
Suite 201
LaCrosse, WI 54601
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I Am Licensed and Registered as Follows:
- Investment Advisor Representative under Harbour Investments, Inc. Registered Investment Advisor. An Investment Advisor Representative (IAR) refers to licensed and authorized personnel who work for investment advisory companies. The primary responsibility of an IAR is to provide investment-related advice as a financial advisor or planner.
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FINRA (Financial Industry Regulation Authority) Registered Representative with Harbour Investments, Inc. 575 D’Onofrio Dr., Suite 300, Madison WI 53719. Member FINRA, SIPC.
- Series 7 General Securities Representative. As defined by FINRA, this candidate possesses the knowledge needed to perform the critical functions of a general securities representative, including sales of corporate securities, municipal securities, investment company securities, variable annuities, direct participation programs, options and government securities.
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Services I Provide:
- I act as a solicitor of an investment manager(s) to manage client assets. I receive a disclosed percent of assets under management as compensation. The investment manager also charges a management fee. Total fees are disclosed in the Harbour Investments Third Party Money Managers Program Services Agreement.
- I provide portfolio management services and receive a disclosed percent of assets under management as compensation. Specific services provided are outlined in Harbour Investments Asset Management Services Agreement.
- I provide non-portfolio management services and assess a flat or hourly fee at a disclosed dollar amount as compensation. Specific services provided are outlined in the Harbour Investments Financial Planning & Investment Consultation Services Agreement.
- I sell insurance or investment products that have a stated commission paid to me.