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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 25 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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.

Experience and Employment History

Employer Years Dates
UBS Financial Services Inc. 2 years, 2 months Feb 2012 - Present
Morgan Stanley Smith Banrey Venture Services LLC 2 years, 8 months Jun 2009 - Feb 2012
Citigroup Global Markets Inc. 8 years, 8 months Oct 2000 - Jun 2009
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 05/09/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

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.

Advisor Exams

Exam Series Passed Date
Futures Managed Funds Examination Series 31 10/07/1997
Uniform Investment Adviser Law Examination Series 65 09/26/1991
Registered Options Principal Examination Series 4 02/21/1991
General Securities Principal Examination Series 24 07/10/1990
Uniform Securities Agent State Law Examination Series 63 03/25/1988
General Securities Representative Examination Series 7 01/16/1988

Firm Compensation Arrangements

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Types of Compensation Arrangements

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