Diane P. Nelson

Current Employers

Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2024-11-18

FL RA
APPROVED

Since 2024-11-18

Branch Locations

582 Beachland Blvd. Suite 200, Vero Beach, FL 32963 • 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 Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	Vero Beach	FL	10/1999	11/2024
Raymond James & Associates, Inc.	Vero Beach	FL	11/2024	Present

10/1999 → 11/2024

Ubs Financial Services Inc.

Vero Beach, FL
11/2024 → Present

Raymond James & Associates, Inc.

Vero Beach, FL

Previous Registrations

2007-11-16 → 2024-11-22

Ubs Financial Services Inc.

Vero Beach, FL

Vero Beach, FL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-11-14

S66 Uniform Combined State Law Examination

2007-11-14

Other Names

Diane P Nelson

View on SEC IAPD

Current Employers

Raymond James & Associates, Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews