Norman Eric Nelson

Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 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:

Current Employers

Raymond James & Associates, Inc.

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

Current Registrations

Authority	Category	Status	Date
UT	RA	APPROVED	2024-01-09
PA	RA	APPROVED	2014-04-02
TX	RA	APPROVED_RES	2007-03-20

UT RA
APPROVED

Since 2024-01-09
PA RA
APPROVED

Since 2014-04-02
TX RA
APPROVED_RES

Since 2007-03-20

Branch Locations

300 Conshohocken State Road Suite 400, West Conshohocken, PA 19428 • United States

Park City, UT • 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

Organization	City	State	From	To
Raymond James & Associates, Inc.	Bala Cynwyd	PA	03/2002	Present

03/2002 → Present

Raymond James & Associates, Inc.

Bala Cynwyd, PA

Other Businesses

(1)Name of Business: Address: 3855 N Grand Street, Summit Drive Unit 315/317/319, Park City, UT, 84098, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 06/30/2024 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: We own a 1/4 interest in a condominium complex in Park City, Utah. (2)Name of Business: 7020 Haverford Real Estate Address: 1300 Wyngate Rd., Wynnewood, PA, 19096, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 08/07/2024 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 2-10 Description of duties: This is a LLC that we created to invest in rental real estate, with better liability protection than owning jointly. (3)Name of Business: 7020 Haverford Real Estate Address: 1300 Wyngate Rd., Wynnewood, PA, 19096, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 08/15/2024 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 2-10 Description of duties: 7020 Haverford Real Estate will own 2 rental property condominiums in Pioche Village Park City, Utah. \nUnits 1303 and 1304.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-05-04
S63	Uniform Securities Agent State Law Examination	1987-03-31

S65 Uniform Investment Adviser Law Examination

1992-05-04
S63 Uniform Securities Agent State Law Examination

1987-03-31

View on SEC IAPD