Robert W. 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.
Robert Wayne Nielsen, who also goes by Bob Nielsen, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2015 - December 31, 2015
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
January 30, 2014 - March 5, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
May 25, 2011 - March 5, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
April 1, 2003 - May 27, 2011
FIRST AMERICAN SECURITIES, INC.
May 1, 2002 - March 31, 2003
NDX TRADING, INC.
March 20, 2000 - May 9, 2002
MILLER JOHNSON STEICHEN KINNARD, INC.
April 30, 1997 - March 20, 2000
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
March 6, 1989 - April 30, 1997
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
November 3, 1988 - March 18, 1989
INVESTMENT CONCEPTS, INC.
February 1, 1988 - November 12, 1988
OBERWEIS SECURITIES, INC.
April 25, 1986 - February 1, 1988
ENGLER-BUDD & COMPANY 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
Series 28
Date: 4/22/2008
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
CRD#: 26506 / SEC#: , 8-42582
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| CARR, GREGORY GERARD | DIRECTOR, CHIEF EXECUTIVE OFFICER, PRESIDENT | 2210835 |
| FLANSBURG, BRETT ALLEN | VICE PRESIDENT, AWM COMPLIANCE AND CHIEF COMPLIANCE OFFICER | 3179474 |
| GERDES, JOSEPH FRANCIS | DIRECTOR, CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 2391989 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| SENNE, ANN MARIE | DIRECTOR | 2515669 |
| SWEENEY, JOSEPH EDWARD | DIRECTOR | 4668713 |
Disclosures
| Regulatory Event | 10 |
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.
