Louise A. Nesheim
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.
Louise Anne Nesheim, who also goes by Louise Anne Crafton, Louise Anne Elliott, Lou Anne Nesheim, was a registered financial professional .
Louise is a previously registered financial professional and started their career in finance in 1982. Louise had worked at 12 firms and has passed the Series 63, Series 7, Series 4, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 1997 - June 9, 2003
NATIONAL PLANNING CORPORATION
April 16, 1991 - September 11, 1996
METROPOLITAN LIFE INSURANCE COMPANY
April 16, 1991 - September 11, 1996
MSI FINANCIAL SERVICES, INC.
May 17, 1989 - January 30, 1990
UNITED INVESTMENT CONSULTANTS, INC.
May 15, 1989 - May 8, 1990
CAPITAL MARKETS CORPORATION
November 22, 1988 - February 27, 1989
POWER SECURITIES CORPORATION
April 22, 1987 - October 6, 1988
B. J. LEONARD AND COMPANY, INC.
August 18, 1986 - March 25, 1987
DEVANNEY, BURGIN, SHANACY, INC.
July 7, 1986 - August 5, 1986
MALONE & ASSOCIATES, INC.
October 5, 1984 - May 6, 1986
HAMILTON BOHNER, INC.
November 30, 1983 - September 5, 1984
WALL STREET WEST, INC.
January 24, 1983 - September 23, 1983
DOMIK CORP.
September 24, 1982 - November 3, 1982
DOMIK CORP.
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
NATIONAL PLANNING CORPORATION
CRD#: 29604 / SEC#: 801-41015, 8-44435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO- NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| JOHNSON, JOHN CHARLES | PRESIDENT/CEO/DIRECTOR | 2079852 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP/FINOP CONTROLLER | 4800775 |
| MARTINEZ, WENDY TAMIE | SVP OPERATIONS | 2668422 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS | 1955960 |
| STONE, JEREMY MICHAEL | VICE PRESIDENT COMPLIANCE | 5000139 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
