Nelson Faro
Nelson Faro is a registered investment advisor at Rockefeller Capital Management, based in Boca Raton, FL, with 42 years of industry experience. Nelson is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 10 more. Their firm serves 50,292 clients with $100B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
Non-discretionary investment advisory and consulting fees are negotiable and max out at 2% of assets under management. Retirement plan services charge up to 1.25% with a $5,000 minimum annual fee.
Fee Estimator
Location
5355 Town Center Rd Floor 6, Boca Raton, FL, 33486
Get directionsHistory
Regulatory History (6)
Customer Dispute
July 2010Customer Dispute
June 2009Customer Dispute
April 2002Customer Dispute
October 1993Customer Dispute
June 1993Customer Dispute
March 1992Employment History
Current Registrations
Rockefeller Capital Management
Rockefeller Financial LLCBroker
Previous Registrations
Rockefeller Capital Management
Morgan Stanley
Morgan StanleyBroker
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley & CO. Incorporated
UBS Financial Services INC.
UBS Financial Services INC.Broker
Prudential Securities IncorporatedBroker
State Registrations32 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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