David R. Nielsen

BIG WAVE ADVISORS

LISLE, IL 60532-1157

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CRD#: 1053582

Professional summary

David Roy Nielsen is a registered financial advisor currently at BIG WAVE ADVISORS, INC. located in Lisle, Illinois.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. David has worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Roy Nielsen's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 1, 2007 - Present

BIG WAVE ADVISORS, INC.

Office #1: 3333 Warrenville Road #255, Lisle, IL 60532-1157

RIA

CRD#: 134044

LISLE, IL

Past

January 2, 2009 - June 15, 2009

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

SAINT PETERSBURG, FL

Past

January 14, 1998 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

WHEATON, IL

Past

August 29, 1997 - June 15, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

WHEATON, IL

Past

February 3, 1995 - September 8, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

June 5, 1992 - February 9, 1995

ROTHSCHILD INVESTMENT LLC

CRD#: 728

CHICAGO, IL

Past

July 22, 1982 - February 1, 1991

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(5/1/2007)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/11/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/4/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 2/26/1991

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/17/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/1/1997

General Securities Principal Examination

Current Firm

BIG WAVE ADVISORS, INC.

BIG WAVE ADVISORS | BIG WAVE ADVISORS, INC.

CRD#: 134044 / SEC#:

Illinois

Registered Investment Advisory firm - (5/1/2007 Approved)

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Contact information

Main Address

Wheaton, IL

Mailing Address

Phone number

(630) 682-5520

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	30
AUM (Assets Under Management)	$ 6,000,000

Red Flags

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Firm Stability Insights

David R. Nielsen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Roy Nielsen's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

ROTHSCHILD INVESTMENT LLC

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 65

Date: 12/11/1995

Series 63

Date: 1/4/1985

Series 3

Date: 2/26/1991

Series 7

Date: 7/17/1982

Series 24

Date: 12/1/1997

Current Firm

BIG WAVE ADVISORS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BIG WAVE ADVISORS, INC.

TRUST BUT VERIFY

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