Douglas A. Nesselrodt
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.
Douglas Allen Nesselrodt, who also goes by Doug Nesselrodt, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1982. Douglas had worked at 7 firms and has passed the Series 63, Series 3, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 1989 - September 11, 1989
FIRSTMONEY SECURITIES CORPORATION
August 24, 1988 - April 18, 1989
L.A. BOYKIN & ASSOCIATES, INC.
June 8, 1988 - June 9, 1988
U.S. ASSOCIATES, INC.
February 29, 1988 - May 7, 1988
L.A. BOYKIN & ASSOCIATES, INC.
March 16, 1987 - December 21, 1987
STEPHENS
October 3, 1984 - July 18, 1986
SWINK & COMPANY, INC.
January 26, 1984 - March 16, 1984
TOWNES & CO., INC.
July 1, 1983 - December 28, 1983
PRUDENTIAL EQUITY GROUP, LLC
June 16, 1982 - May 2, 1983
TOWNES & CO., 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
FIRSTMONEY SECURITIES CORPORATION
CRD#: 18220 / SEC#: , 8-36290
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
