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Nelson E Link

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Information

Other Names: Eddie Link Jr, Nelson E Link Jr. Jr, Nelson Edward Link Jr ...(see more)
Firm:
Type: Dual Registration
Description

Nelson Link is a financial professional at UBS Financial Services Inc., a broker-dealer with over 12,600 registered representatives nationwide. Nelson has held an industry securities registration for 26 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
UBS Financial Services Inc. 2 years, 5 months Feb 2012 - Present
Morgan Stanley Smith Barney 2 years, 8 months Jun 2009 - Feb 2012
Citigroup Global Markets Inc. 8 years, 8 months Oct 2000 - Jun 2009
Exams
ExamSeriesPassed Date
Futures Managed Funds ExaminationSeries 31 10/07/1997
Uniform Investment Adviser Law ExaminationSeries 65 09/26/1991
Registered Options Principal ExaminationSeries 4 02/21/1991
General Securities Principal ExaminationSeries 24 07/10/1990
Uniform Securities Agent State Law ExaminationSeries 63 03/25/1988
General Securities Representative ExaminationSeries 7 01/16/1988

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Nelson E Link has not answered any questions on Financial Q&A.

Top Guides

Nelson E Link has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

1 Regulatory Event

As of Date
05/09/2013
08/16/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions
  • Other: SEE SCHEDULE D - MISCELLANEOUS