Kenneth Nelson

Tufts University - BS Engineering Duke University - MBA

1780923

30613

North Carolina #1710875

Cetera Advisors LLC

Pershing, LLC

CA, CO, FL, MI, MO, NV, NY, NC, PA, SC, TN, TX, VA, WA

Any

35

15

In October 1987, the stock market crashed. With equity valuations so low, I decided to leave commercial real estate and enter the brokerage business. By December 1987, I had passed the series 7 exam and was working as a broker in midtown Manhattan. After learning the business in New York City, I decided to move to the Raleigh area where my Uncle was a NC State professor.

Starting in the 1960's, my family has migrated from the New York area to North Carolina. I joined Interstate Securities. They later merged with Johnson Lane to become Interstate Johnson Lane (IJL). Later Wachovia Bank acquired IJL, and we became Wachovia Securities. At IJL, I was one of the youngest branch managers in the firm's history (age 26). I stayed with that firm for 13 years. During that time, I provided market commentary on TV (the local NBC TV affiliate), and also on radio (WPTF 680 AM).

I've always valued education. When I was 33, I went to Duke University's Fuqua School of Business. I earned an MBA, and finished in the top of the class. At the graduation ceremony, 2 of my professors asked me to come back and guest lecture. I've guest lectured in 5 different MBA classes since graduation.

At Duke, I was one of our elected class leaders. I've stayed active since then including a stint as President of Duke's largest alumni association with 17,000 members in my chapter. I've also earned a Chartered Retirement Planning Counselor (CRPC) designation, and a Chartered Retirement Plans Specialist (CRPS) designation from the College for Financial Planning. While attending Duke, I founded Nelson Wealth Advisors. At first our financial planning and investment consulting group was housed at a major brokerage firm.

In 2005, we decided to go independent. Independence has given us a great deal of flexibility to structure our practice more cost efficiently, and has expanded the range of investment options we've been able to offer our clients.

Non-Profit Organizations, Individual Investors, Businesses

No

Yes

Yes

Yes

I have a clean record

I have a clean record

CRPS^®, AIF^®, CRPC^®, AIFA®

Series 7, Series 9, Series 10, Series 24, Series 63, Series 65

Variable Life, Long Term Care, Variable Annuity, Life, Annuity

Capital Area Soccer League. I've coached Classic, Challenge, and Rec soccer. I've taken teams to tournaments throughout the US and Europe. Duke Alumni Association - Past President Triangle Chapter Chapel Hill Chamber of Commerce - Past President of the Welcoming Committee Wood Valley Home Owners Association - Past Vice President

Options & Futures, Mutual Funds, Bonds, Stocks, Annuities, Insurance, Exchange Traded Funds (ETFs), Alternative Investments, Socially Responsible Investments (SRI)

Our Office, Phone, Email, Your Office, Your Home, Video Conference

Fee-Based

$1M and up

Based on Assets, Hourly, Flat Fee, Commissions

varies

varies

We have complete flexibility in our billing. If a client prefers, we can bill on a fee only basis. However, some investments pay brokers of record a fee to be listed as broker of record. We can use these fees to offset charges if the client prefers. We can work, fee based, commission based, or some combination of the two. The client can choose what is best for them.

none

none

none

Yes