Mitchell Nelson

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2012 → 04/2017
  Cetera Advisors Llc
  Denver, CO
• 04/2017 → 10/2021
  Sa Stone Wealth Management Inc
  Morganville, NJ
• 04/2017 → 10/2021
  Sa Stone Investment Advisors Inc
  Morganville, NJ
• 10/2021 → Present
  Cetera Advisors Llc
  St. Cloud, MN
• 11/2021 → Present
  Rockdale Financial Services, Inc.
  Eatontown, NJ
• 01/2024 → Present
  Cetera Investement Advisers Llc
  Schaumburg, IL
• 01/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 12/2025 → Present
  Imagine Retirement Llc
  Eatontown, NJ
• 04/2026 → Present
  Wealth Pathfinders
  Eatontown, NJ

Previous Registrations

• 2021-11-23 → 2026-01-05
  Rockdale Financial Services, Inc.
  Largo, FL
  Eatontown, NJ
• 2017-04-05 → 2021-10-21
  Stonex Advisors Inc.
  Morganville, NJ
  Birmingham, AL
  Leonardo, NJ
• 2012-03-15 → 2017-04-05
  Cetera Advisors Llc
  Oakhurst, NJ
  Greenwood Village, CO
  Hamilton, NJ
  Lido Beach, NY
• 2011-04-01 → 2012-03-21
  Wrp Investments, Inc.
  Toms River, NJ

Other Businesses

1. NAME OF OTHER BUSINESS: ROCKDALE FINANCIAL SERVICES, INC. INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: ADVISORY SERVICES, POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE, START DATE: 10/2021 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING, THIRD PARTY MONEY MANAGEMENT. 2. NAME OF OTHER BUSINESS: MONMOUTH FINANCIAL SERVICES, INC INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 04/2017, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 8, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3. NAME OF OTHER BUSINESS: SENIOR CARE SPECIALISTS INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: INSURANCE DBA, START DATE: 01/2019, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS:1, BRIEF DESCRIPTION OF DUTIES: DBA FOR MEDICARE SUPPLEMENTAL, MEDICARE ADVANTAGE (PART C) AND MEDICARE PRESCRIPTION DRUG (PART D) SALES. 4. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 09/2002, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT, BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, LONG-TERM CARE, PROPERTY AND CASUALTY; 5. NAME OF OTHER BUSINESS: IMAGINE RETIREMENT LLC; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 12/2025, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 6. NAME OF OTHER BUSINESS: FLORIDA KNIGHTS OF PYTHIAS GRAND; INVESTMENT RELATED: NO; ADDRESS: 7715 SOUTHAMPTON TERRACE, 108, TAMARAC, FL 33321; NATURE OF BUSINESS: BOARD; START DATE: 5/2026; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: MAINTAIN ACCURATE RECORDS OF ORGANIZATIONAL INCOME AND EXPENSES, PREPARE PERIODIC FINANCIAL STATEMENTS AND ACTIVITY REPORTS, REVIEW AND ANALYZE SPENDING, DONATIONS, AND CASH FLOW TRENDS; 7. NAME OF OTHER BUSINESS: WEALTH PATHFINDERS INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 04/2026 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 8. NAME OF OTHER BUSINESS: VET-RAN INDEPENDENCE GROUP (V-RIG); INVESTMENT RELATED: NO ADDRESS: 2425 SW 102ND RD WEBSTER, FL 33597; NATURE OF BUSINESS: BOARD; START DATE: 7/1/2026; POSITION/TITLE/RELATIONSHIP: DIRECTOR OF DEVELOPEMENT & STRATEGIC PARTNERS; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: DRIVING THE ORGANIZATIONS LONG TERM FINANCIAL SUSTAINABILITY, STRATEGIC RELATIOSHIP & RESOURCE DEVELOPMENT;

Exams

• S65 Uniform Investment Adviser Law Examination
  2011-03-29
• S63 Uniform Securities Agent State Law Examination
  2002-07-01