Wayne G. Nielsen
Professional summary
Wayne George Nielsen is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Wayne George Nielsen's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 24, 1997 - Present
W.G. NIELSEN & CO.
Office #1: 3200 Cherry Creek Drive South Suite 470, Denver, CO 80209Office #2: 3200 Cherry Creek Drive South Suite 470, Denver, CO 80209March 21, 1991 - October 10, 1995
KFS BD, INC.
October 25, 1989 - March 4, 1991
UBC INVESTMENT CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/28/1997)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
W.G. NIELSEN & CO.
CRD#: 41093 / SEC#: , 8-49316
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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