John E. Niemi
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Erick Niemi was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 10 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 1997 - June 3, 1997
AEI SECURITIES, INC.
July 13, 1994 - December 5, 1994
MJK CLEARING, INC.
February 28, 1994 - July 5, 1994
WADDELL & REED
September 4, 1991 - December 19, 1992
PRIVATE FINANCIAL, INC.
June 9, 1989 - August 28, 1989
PRIVATE FINANCIAL, INC.
February 1, 1989 - June 20, 1989
OAKWOOD CAPITAL SECURITIES, INC.
July 12, 1988 - September 14, 1988
KAVANAUGH SECURITIES, INC.
August 10, 1987 - August 29, 1988
COLLIERS SECURITIES LLC
February 26, 1987 - March 11, 1987
PRUDENTIAL EQUITY GROUP, LLC
April 5, 1982 - January 29, 1987
SECURITIES RESOLUTION CORPORATION
March 2, 1982 - March 25, 1982
MILLER JOHNSON STEICHEN KINNARD, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AEI SECURITIES, INC.
CRD#: 6158 / SEC#: , 8-16750
Contact information
FINRA licenses (19 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Civil Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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