Nikenson Joseph
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.
Nikenson Joseph was a registered financial professional .
Nikenson is a previously registered financial professional and started their career in finance in 1998. Nikenson had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2012 - August 12, 2013
THE ROCKWELL FINANCIAL GROUP, INC.
October 8, 2008 - March 4, 2010
THE ROCKWELL FINANCIAL GROUP, INC.
November 20, 2006 - January 19, 2007
GREAT EASTERN SECURITIES, INC.
June 4, 2004 - October 22, 2004
LEGEND SECURITIES, INC.
July 17, 2002 - June 18, 2003
GUNNALLEN FINANCIAL, INC
February 27, 2002 - July 11, 2002
WOODSTOCK FINANCIAL GROUP, INC.
June 14, 2001 - March 12, 2002
SALOMON GREY FINANCIAL CORPORATION
May 7, 2001 - June 8, 2001
CLARK STREET CAPITAL, INC.
January 25, 2000 - May 4, 2001
ROYAL HUTTON SECURITIES CORP.
March 30, 1999 - September 23, 1999
JOSEPH CHARLES & ASSOC., INC.
July 29, 1998 - April 1, 1999
ROYAL HUTTON SECURITIES CORP.
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
THE ROCKWELL FINANCIAL GROUP, INC.
CRD#: 26153 / SEC#: , 8-42399
Contact information
FINRA licenses (25 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
