Wayne George Nielsen
Professional Summary
Wayne George Nielsen is a registered financial advisor currently at W.G. NIELSEN & CO. located in Denver, Colorado. Wayne is registered as a RR (Registered Representative) and started their career in finance in 1989. Wayne has worked at 3 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
37 years in the financial services industry
Current & Past Employments
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Current Firm
W.G. NIELSEN & CO.
Contact Information
Main Address
3200 Cherry Creek Drive South Suite 470, Denver, CO 80209Mailing Address
3200 Cherry Creek Drive South Suite 470, Denver, CO 80209Phone Number
(303) 830-1515Established
Colorado since 03/12/1996Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(4/28/1997)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Wayne George Nielsen's CRS (Customer Relationship Summary).
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