Maureen E. Nielsen
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.
Maureen Elizabeth Nielsen was a registered financial professional .
Maureen is a previously registered financial professional and started their career in finance in 1985. Maureen had worked at 7 firms and has passed the Series 63, Series 6, Series 3 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
August 25, 2010 - January 18, 2012
METLIFE INVESTORS DISTRIBUTION COMPANY
January 2, 1998 - January 17, 2001
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 5, 1991 - January 2, 1998
AEGON USA SECURITIES INC.
February 12, 1990 - October 1, 1991
GREEN HILL FINANCIAL SERVICE CORPORATION
July 20, 1987 - August 29, 1988
PRUDENTIAL EQUITY GROUP, LLC
October 16, 1986 - April 20, 1987
GRUNTAL & CO., L.L.C.
November 19, 1985 - September 23, 1986
SELIGMAN SECURITIES, 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
METLIFE INVESTORS DISTRIBUTION COMPANY
CRD#: 107622 / SEC#: , 8-53064
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| METLIFE INVESTORS GROUP, LLC | SHAREHOLDER | |
| ALPHONSO-NAPOLI, GEETA MARCELI | LEGAL OFFICER | 4518655 |
| FRADKIN, GEOFFREY ANDREW | VICE PRESIDENT | 5473381 |
| GOOD, JESSICA TERESE | CHAIRMAN OF THE BOARD OF DIRECTORS, PRESIDENT AND CEO | 5741973 |
| GRUPPUSO, PETER | ASSISTANT VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2643834 |
| KUCHINSKY, ALEXIS NATALIE | CHIEF COMPLIANCE OFFICER | 4343809 |
| LOPEZ, GABRIEL ADOLPH | DIRECTOR AND SENIOR VICE PRESIDENT | 2554216 |
| MCDERMOTT, MICHAEL | DIRECTOR, SENIOR VICE PRESIDENT | 5577809 |
| SCHUSTER, THOMAS JAMES | DIRECTOR, SENIOR VICE PRESIDENT | 4570334 |
| SMITH-WALL, ANIKA AYANNA-NJERI | DIRECTOR, VICE PRESIDENT | 7414359 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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