We are a committed group of professionals dedicated to providing superior investment advice to our corporate and high net worth clients. We average over 27 years of experience in the financial industry. We strive to provide the best, most professional and personalized service possible. We act honestly, with pride and integrity, and always in the best interest of our clients. We earn our clients trust and respect. We believe our knowledge, combined with the exceptional service we provide, ensure our clients are proud to recommend us to their family members, colleagues and friends.

Firm Start Year

1987

CRD#

1780923

Firm CRD#

30613

Name of Broker/Dealer

Cetera Advisors LLC

Name of Custodial Firm

Pershing, LLC

States Licensed in

CA, FL, MO, NY, NC, PA, SC, WA

Years of Experience in Financial Services

30

Number of Years with Current Firm

15

Work Experience

In October 1987, the stock market crashed. With equity valuations so low, I decided to leave commercial real estate and enter the brokerage business. By December 1987, I had passed the series 7 exam and was working as a broker in midtown Manhattan. After learning the business in New York City, I decided to move to the Raleigh area where my Uncle was a NC State professor. Starting in the 1960's, my family has migrated from the New York area to North Carolina. I joined Interstate Securities. They later merged with Johnson Lane to become Interstate Johnson Lane (IJL). Later Wachovia Bank acquired IJL, and we became Wachovia Securities. At IJL, I was one of the youngest branch managers in the firm's history (age 26). I stayed with that firm for 13 years. During that time, I provided market commentary on TV (the local NBC TV affiliate), and also on radio (WPTF 680 AM). I've always valued education. When I was 33, I went to Duke University's Fuqua School of Business. I earned an MBA, and finished in the top of the class. At the graduation ceremony, 2 of my professors asked me to come back and guest lecture. I've guest lectured in 5 different MBA classes since graduation. At Duke, I was one of our elected class leaders. I've stayed active since then including a stint as President of Duke's largest alumni association with 17,000 members in my chapter. I've also earned a Chartered Retirement Planning Counselor (CRPC) designation, and a Chartered Retirement Plans Specialist (CRPS) designation from the College for Financial Planning. While attending Duke, I founded Nelson Wealth Advisors. At first our financial planning and investment consulting group was housed at a major brokerage firm. In 2005, we decided to go independent. Independence has given us a great deal of flexibility to structure our practice more cost efficiently, and has expanded the range of investment options we've been able to offer our clients.

Work with the following types of clients

Businesses, Individual Investors, Non-Profit Organizations

Investment Types

Alternative Investments, Exchange Traded Funds (ETFs), Insurance, Bonds, Stocks, Annuities, Mutual Funds, Options & Futures, Socially Responsible Investments (SRI)

Can meet clients in the following ways

Via Phone, Our Office, Your Home, Your Office, Via Email

Registered Representative

Yes

Investment Advisor Representative

Yes

Compliance Disclosures in Last 5 years

Have a clean record

Criminal Disclosures in Last 5 years

Have a clean record

Certifications, Accreditations & Designations

Chartered Retirement Plans Specialist (CRPS®), Chartered Retirement Planning Counselor (CRPC®), MBA, AIF®

Securities Licenses

Series 9, Series 10, Series 24, Series 63, Series 7, Series 65

Insurance and Annuity Licenses

Annuity, Life, Variable Annuity, Long Term Care, Variable Life

Non-Financial Organization Memberships

Capital Area Soccer League. I've coached Classic, Challenge, and Rec soccer. I've taken teams to tournaments throughout the US and Europe. Duke Alumni Association - Past President Triangle Chapter Chapel Hill Chamber of Commerce - Past President of the Welcoming Committee Wood Valley Home Owners Association - Past Vice President

Fee Structure

Fee-Based

Minimum Portfolio Size for New Managed Accounts

$100K and up

Compensation Methods

Subscriptions

Fee % Based on Assets

varies

Flat Fee Rate

varies

Additional Details on Charges

We have complete flexibility in our billing. If a client prefers, we can bill on a fee only basis. However, some investments pay brokers of record a fee to be listed as broker of record. We can use these fees to offset charges if the client prefers. We can work, fee based, commission based, or some combination of the two. The client can choose what is best for them.

Minimum Fee Charged for Managed Accounts

none

Minimum Fee Charged for Hourly Planning Accounts

none

Minimum Fee Charged for Flat Fee Accounts

none

MBA -

Duke University Fuqua School of Business
2000 - 2001

B.S. Engineering - Engineering

Tufts University
1983 - 1987

Securities offered through Cetera Advisors LLC, member FINRA/SIPC. Cetera is under separate ownership from any other named entity.