PHYLLIS ELIZABETH NELSON

PHYLLIS ELIZABETH NELSON is currently employed as a Broker and/or Investment Adviser at D.A. DAVIDSON & CO. located at 200 CENTRE TERRACE, 1225 L STREET, SUITE 200, LINCOLN, NE, 68508.

PHYLLIS ELIZABETH NELSON has worked at D.A. DAVIDSON & CO. since July 25, 2016

Disclosure History

PHYLLIS ELIZABETH NELSON has 1 Disclosure Event(s).

Date: March 01, 1977
Category: Criminal
Charges: MISDEMEANOR, ONE COUNT, ACCEPTING A PIECE OF JEWELRY FROM A PURSE STOLEN BY A PEER Charge Type: MISDEMEANOR
Disposition: CASE Dismissed RECORDS EXPUNGED, 06/01/1977
Broker Comment: ACCEPTING A PIECE OF JEWELRY FROM A PURSE STOLEN BY A PEER, CASE Dismissed RECORDS EXPUNGED, 06/01/1977

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for PHYLLIS ELIZABETH NELSON, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.