Regulatory Information

Nelson Capital Advisors is a registered investment adviser.  Registration as an investment adviser does not imply a certain level of skill or training.  Nelson Capital Advisors may only transact business or render personalized investment advice in those states and international jurisdictions where the firm is registered, notice filed, or otherwise excluded or exempted from registration requirements.  Any communications with prospective clients residing in states or international jurisdictions where Nelson Capital Advisors is not registered or licensed shall be limited so as not to trigger registration or licensing requirements.

According to the Investment Advisers Act of 1940, an investment adviser is considered a fiduciary and has a fiduciary duty to all clients.  Nelson Capital Advisors will act in each client’s best interests at all times and will not at any time place their interests ahead of any client’s interest.  This fiduciary duty is considered the core underlying principle for the firm’s Code of Ethics.  Nelson Capital Advisors has established a Code of Ethics to comply with the requirements of Section 204(A)-1 of the Investment Advisers Act of 1940 that reflects its fiduciary obligations.  The standard of conduct required is higher than ordinarily required and encountered in commercial business.  The Code of Ethics also requires compliance with federal securities laws.   

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499 Broadway #209
Bangor, ME 04401

Phone:  207 420 2442

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