Adviser and broker representative · Nelson Securities,inc.
Carmel B. Exum
CRD 7395532 · San Diego, CA
At a glance
Carmel B. Exum is an investment adviser representative with Nelson Securities,inc. in San Diego, CA, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Carmel’s SEC record dates to 2021, about 5 years ago. Carmel is also registered as a broker representative.
Current advisory firm
- Nelson Securities,inc.Since September 2021San Diego, CA · $322M in regulatory assets
SEC adviser record
- Registered since
- 2021 (5 years)
- Designations
- None on file
- Exams
- Series 63, Series 65
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Carmel’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- Locked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
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Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.