Joshua David Nelson

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
MN	RA	APPROVED	2022-01-03
TX	RA	APPROVED_RES	2021-12-16

MN RA
APPROVED

Since 2022-01-03
TX RA
APPROVED_RES

Since 2021-12-16

Branch Locations

Maple Grove, MN • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
National Planning Corporation	Orange	CA	10/2015	10/2017
Securities America, Inc.	Huntington Beach	CA	10/2017	12/2021
Securities America Advisors	Huntington Beach	CA	10/2017	12/2021
Lpl Finanical Llc	Maple Grove	MN	12/2021	Present

10/2015 → 10/2017

National Planning Corporation

Orange, CA
10/2017 → 12/2021

Securities America, Inc.

Huntington Beach, CA
10/2017 → 12/2021

Securities America Advisors

Huntington Beach, CA
12/2021 → Present

Lpl Finanical Llc

Maple Grove, MN

Previous Registrations

2017-11-01 → 2021-12-23

Securities America Advisors, Inc.

Huntington Beach, CA
2015-10-26 → 2017-11-06

National Planning Corporation

Orange, CA

El Segundo, CA
2013-04-19 → 2015-10-23

First Allied Advisory Services, Inc.

Orange, CA
2008-03-04 → 2011-09-29

Msi Financial Services, Inc.

Walnut Creek, CA

San Jose, CA

Orange, CA
2005-02-01 → 2008-01-30

Thrivent Investment Management Inc.

Anaheim, CA

Placentia, CA

Other Businesses

1)12/2021- Elite Financial Network- DBA for LPL Business (entity for LPL business)- inv. related- MAPLE GROVE MN

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2004-12-27
S63	Uniform Securities Agent State Law Examination	2001-10-26

S65 Uniform Investment Adviser Law Examination

2004-12-27
S63 Uniform Securities Agent State Law Examination

2001-10-26

View on SEC IAPD