Brad 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.
Brad E Nielsen, who also goes by Brad Nielsen, was a registered financial professional .
Brad is a previously registered financial professional and started their career in finance in 1992. Brad had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2017 - June 22, 2018
SAMMONS FINANCIAL NETWORK, LLC
April 18, 2016 - December 27, 2016
KESTRA ADVISORY SERVICES, LLC
October 2, 2015 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
August 26, 2014 - December 27, 2016
KESTRA INVESTMENT SERVICES, LLC
May 29, 2013 - October 2, 2015
WEALTHSPIRE RETIREMENT ADVISORY
March 9, 2011 - August 27, 2014
FINANCIAL TELESIS INC
April 5, 2010 - August 27, 2014
FINANCIAL TELESIS INC
August 10, 2007 - April 1, 2010
KESTRA INVESTMENT SERVICES, LLC
September 21, 1992 - May 22, 2006
PRINCIPAL 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
SAMMONS FINANCIAL NETWORK, LLC
CRD#: 158538 / SEC#: , 8-68905
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
