David W. Nissen
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.
David William Nissen, who also goes by Dave Nissen, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1988. David had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2012 - March 9, 2012
BRADFORD & MARZEC, LLC
January 18, 2007 - April 1, 2010
NWQ INVESTMENT MANAGEMENT COMPANY, LLC
January 18, 2007 - April 1, 2010
NUVEEN SECURITIES, LLC
March 21, 2006 - July 12, 2006
VP DISTRIBUTORS LLC
January 13, 2006 - July 6, 2006
ENGEMANN ASSET MANAGEMENT
October 3, 1997 - March 21, 2006
VP DISTRIBUTORS LLC
March 10, 1995 - October 3, 1997
PASADENA FUND SERVICES, INC.
April 17, 1990 - January 17, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 9, 1989 - May 10, 1990
LEHMAN BROTHERS INC.
December 20, 1988 - August 15, 1989
HANIFEN, IMHOFF SECURITIES CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BRADFORD & MARZEC, LLC
CRD#: 105654 / SEC#: 801-20778
Contact information
Red Flags
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