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Current Employers
Prime Capital Financial

6201 College Blvd. Suite #150, Overland Park, KS 66211 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2017-07-27
  • MN RA
    APPROVED
    Since 2017-07-27

Branch Locations

1905 Wayzata Blvd Suite #230, Wayzata, MN 55391 • United States

6201 College Blvd. Suite #150, Overland Park, KS 66211 • United States

Disclosures

1 disclosure category 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Cambridge Investment Research Inc Fairfield IA 10/2013 04/2018
Prime Capital Investment Advisors, Llc Overland Park KS 07/2017 Present
Private Client Services Louisville KY 04/2018 10/2020
  • 10/2013 → 04/2018
    Cambridge Investment Research Inc
    Fairfield, IA
  • 07/2017 → Present
    Prime Capital Investment Advisors, Llc
    Overland Park, KS
  • 04/2018 → 10/2020
    Private Client Services
    Louisville, KY
Previous Registrations
  • 2014-01-02 → 2017-10-13
    Lawing Financial Inc
    Wayzata, MN
    Overland Park, KS
Other Businesses

1) CMMA GOLF COMMITTEE. 117 CENTRAL AVE, PO BOX 150, ELBOW LAKE, MN 56351. CHAIR-PLANNING FOR ANNUAL GOLF OUTING. 3 HOURS/MO; 3 DURING TRADING HOURS, NOT INVESTMENT RELATED. 2) CMMA-CENTRAL MINNESOTA MANUFACTURERS ASSOCIATION. PO BOX 150, ELBOW LAKE, MN 56351. MEMBER-NO DUTIES. 3 HOURS/MO; 3 DURING TRADING HOURS. 3) NON INVESTMENT RELATED INSURANCE SALES THRU VARIOUS CARRIERS. 4) PENN MUTUAL. 1905 WAYZATA BLVD, STE 230, WAYZATA, MN 55391. LIFE INSURANCE SALES. AGENT. 5 HOURS/MO; 5 DURING TRADING HOURS. 5) PRIME CAPITAL FINANCIAL, LLC is 100% OWNED BY CHHSZ Holdings, LLC. CLINT NELSON IS A MEMBER OF CHHSZ HOLDINGS, LLC AND AS SUCH IS ENTITLED TO RECEIVE A SHARE OF THE COMPANY'S PROFITS. 6) RAMSEY LAKE BUILDERS, NON INVESTMENT RELATED, 4187 COUNTRY RD 8 NW, MAPLE LAKE MN 55358. OWNER, 01/2025, <10 HOURS PER MONTH; 0 HOURS DURING TRADING HOURS; WORK BEHIND THE SCENE WITH OTHER OWNER TO FACILITATE THE ROLE OF GENERAL CONTRACTOR.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2007-10-15
  • S63 Uniform Securities Agent State Law Examination
    2007-10-15
Designations

View on SEC IAPD

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