MARTIN NELSON & CO., INC. of SEATTLE, WA is an SEC-registered investment adviser (CRD 2903). Regulatory assets under management: $287.3M.
Compensation: % of AUM.
Clients served: High net worth, Pensions.
| Name | Role | Location |
|---|---|---|
| Martin Oliver Jr Nelson | PRESIDENT/CCO | — |
| Vicki Ann Nelson | DIRECTOR | — |
| Frederic Louis Roebke | VICE PRESIDENT | — |
| Sabine Erika Regina Koenig | SECRETARY/TREASURER | — |
| Scott Thomas Macartney | VICE PRESIDENT | — |
| NELSON KATHLEEN ANN | DIRECTOR | — |
| NELSON ROBERT OWEN JR | PRESIDENT/CCO | — |
| ROEBKE FREDERIC LOUIS | VICE PRESIDENT | — |
| KOENIG SABINE ERIKA REGINA | SECRETARY/TREASURER | — |
| MACARTNEY SCOTT THOMAS | VICE PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2015-06-18 | regulatory | INADEQUATE DUE DILIGENCE IN CERTAIN OFFERINGS. | Final | $100K |
| 1998-03-17 | regulatory | LATE FILINGS OF FORMS G-36(OS) AND (ARD) AND DIDN'T SEND OFFICIAL STATEMENTS VIA REGISTERED MAIL. THERE WERE NO MONETARY DAMAGES OR CLAIMS TO ANY PUBLIC CUSTOMER. | Final | $5K |
| 1963-03-01 | regulatory | VIOLATION OF TRADING REGULATIONS. THERE WERE NO MONETARY DAMAGES OR CLAIMS TO ANY PUBLIC CUSTOMER. | Final | $1K |
| 1961-10-01 | regulatory | VIOLATION OF FEDERAL RESERVE BOARD REGULATION T. THERE WERE NO MONETARY DAMAGES OR CLAIMS TO ANY PUBLIC CUSTOMER. | Final | $1K |