Douglas Nelson is a registered investment advisor, based in St. Louis, MO, with 25 years of industry experience.
Location
8301 Maryland Avenue, Suite 300, St. Louis, MO, 63105
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Criminal
February 2025Pending Charge
Other Business Activities
Douglas is a managing director at Sunpointe Investments, LLC, dedicating full-time hours to this role. He also has 50% ownership in New Hampshire Fine Art LLC, working there a few hours per week as an art dealer.
Employment History
Current Registrations
Sunpointe Investments
June 2021 - Present · 4 yrs 10 mos
Apw Capital, INC.Broker
June 2021 - Present · 4 yrs 10 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
January 2012 - June 2021 · 9 yrs 5 mos
Wells Fargo Clearing Services, LLCBroker
January 2012 - June 2021 · 9 yrs 5 mos
Morgan Stanley Smith BarneyBroker
June 2009 - January 2012 · 2 yrs 7 mos
Morgan Stanley Smith Barney LLC
June 2009 - January 2012 · 2 yrs 7 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
April 2005 - April 2007 · 2 yrs
Morgan Stanley Dw INC.Broker
April 2005 - April 2007 · 2 yrs
Merrill Lynch Pierce Fenner & Smith INC.
February 2001 - May 2005 · 4 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 2000 - May 2005 · 4 yrs 6 mos
State Registrations8 states
COHIMAMENHORSCVA
AdvisorBrokerBoth
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
No exam information available for this advisor.