Christy Nelson
Christy Nelson is a ChFC-designated registered investment advisor at Principal Securities, INC., based in Denver, CO, with 23 years of industry experience. Christy is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 51,941 clients with $17B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $150K | 1.75% |
| $150K - $250K | 1.75% |
| $250K - $500K | 1.75% |
| $500K - $1000K | 1.20% |
| $1M+ | 1.10% |
Fees are negotiable and collected quarterly in arrears. Schedule reflects the SEI Managed Account Solutions program maximum fees. Other programs utilize promoter fees ranging from 0.07% to 1.50% or asset-based fees up to 1.95%.
Fee Estimator
Location
4600 S Syracuse St, Ste 1000, Denver, CO, 80237
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Christy is a registered representative selling fixed insurance products, including life, disability, annuities, long-term care, health, Medicare supplements, and group benefits. This takes about a quarter of her time, with 30 hours per month dedicated to securities trading.
Employment History
Current Registrations
Principal Securities, INC.
Principal Securities, INC.
Principal Securities, INC.Broker
Previous Registrations
Principal Securities, INC.
Cetera Advisors LLC
Cetera Advisors LLCBroker
Charles Schwab & CO., INC.Broker
State Registrations17 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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