JN
Joseph R. Nickerson
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CRD#: 1274113
JN
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.
Joseph Russell Nickerson was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1984. Joseph had worked at 5 firms and has passed the Series 63, Series 52TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
January 3, 2005 - September 4, 2024
CONTINENTAL INVESTORS SERVICES, INC.
BD
CRD#: 29775
SEATTLE, WA
Past
January 6, 1995 - January 3, 2005
BUTLER MUNI, LLC
BD
CRD#: 7389
SAN RAMON, CA
Past
October 29, 1985 - August 4, 1994
R.W. SMITH & ASSOCIATES, LLC
BD
CRD#: 16605
JERSEY CITY, NJ
Past
August 5, 1985 - May 8, 1987
C. A. BOTZUM & CO.
BD
CRD#: 123
Past
September 11, 1984 - June 4, 1985
HAMMOND, PETERS & SMITH, INC.
BD
CRD#: 10501
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CONTINENTAL INVESTORS SERVICES, INC.
CIS-WEALTH MANAGEMENT-A DIVISION OF CIS | CONTINENTAL INVESTORS SERVICES, INC.
CRD#: 29775 / SEC#: 801-122737, 8-44523
RIA
Registered Investment Advisory firm - SEC (11/22/2021 Approved)Alaska
Registered Investment Advisory firm - SEC (3/24/2023 Terminated)Arizona
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)California
Registered Investment Advisory firm - SEC (4/20/2023 Terminated)Georgia
Registered Investment Advisory firm - SEC (4/18/2023 Terminated)Idaho
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)Nevada
Registered Investment Advisory firm - SEC (4/20/2023 Terminated)New York
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)North Dakota
Registered Investment Advisory firm - SEC (12/7/2023 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)Oregon
Registered Investment Advisory firm - SEC (4/3/2023 Terminated)Texas
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)Utah
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)Washington
Registered Investment Advisory firm - SEC (4/24/2023 Terminated)Wyoming
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
CI
CONTINENTAL INVESTORS SERVICES, INC.
CIS-WEALTH MANAGEMENT-A DIVISION OF CIS | CONTINENTAL INVESTORS SERVICES, INC.
CRD#: 29775 / SEC#: 801-122737, 8-44523
RIA
Registered Investment Advisory firm - SEC (11/22/2021 Approved)Alaska
Registered Investment Advisory firm - SEC (3/24/2023 Terminated)Arizona
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)California
Registered Investment Advisory firm - SEC (4/20/2023 Terminated)Georgia
Registered Investment Advisory firm - SEC (4/18/2023 Terminated)Idaho
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)Nevada
Registered Investment Advisory firm - SEC (4/20/2023 Terminated)New York
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)North Dakota
Registered Investment Advisory firm - SEC (12/7/2023 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)Oregon
Registered Investment Advisory firm - SEC (4/3/2023 Terminated)Texas
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)Utah
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)Washington
Registered Investment Advisory firm - SEC (4/24/2023 Terminated)Wyoming
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
1330 Broadway Street, Longview, WA 98632
Mailing Address
P.o. Box 888, Longview, WA 98632-7552
Phone number
(360) 423-5110
Established
Washington since 12/16/1991
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
14
SEC notice filing (18 States and Territories)
FINRA licenses (42 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 605 |
| AUM (Assets Under Management) | $ 196,792,432 |
Disclosures
| Regulatory Event | 3 |
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.
