Joseph M. Niesslein

E. E. POWELL & COMPANY

Seven Fields, PA 16046

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CRD#: 3057789

Professional summary

Joseph M Niesslein is a registered financial advisor currently at E. E. POWELL & COMPANY INC. located in Seven Fields, Pennsylvania.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Joseph has worked at 3 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

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.

1. NAME OF BUSINESS: JOSEPH M. NIESSLEIN, CPA NOT INVESTMENT-RELATED. ADDRESS: 206 WESTMINSTER DRIVE, MOON TWP., PA 15108. NATURE: TAX SERVICES. POSITION: SOLE PROPRIETOR TITLE: CPA RELATIONSHIP: NONE START DATE OF RELATIONSHIP: NO RELATIONSHIP. APPX. HOURS/MONTH: 80 HOURS DURING TAX SEASON - 4 OTHERWISE. NUMBER HOURS DURING SECURITIES TRADING HOURS: GENERALLY NONE OR LITTLE. DUTIES: TAX PREPARER. 2. NAME OF BUSINESS: WAYNE & DOROTHY PHILLIPS POA. INVESTMENT-RELATED. ADDRESS: 206 WESTMINSTER DRIVE, MOON TWP., PA 15108. NATURE: POWER OF ATTORNEY. POSITION: POWER OF ATTORNEY. TITLE: POWER OF ATTORNEY. APPX. HOURS/MONTH: APPROXIMATELY 8. NUMBER HOURS DURING SECURITIES TRADING HOURS: APPROXIMATELY 1. DUTIES: POWER OF ATTORNEY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph M Niesslein's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Joseph M Niesslein's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 11, 2024 - Present

E. E. POWELL & COMPANY INC.

Office #1: 200 Northpointe Circle Suite 304, Seven Fields, PA 16046

RIA

CRD#: 3063

Seven Fields, PA

Current

January 23, 2024 - Present

E. E. POWELL & COMPANY INC.

Office #1: 200 Northpointe Circle Suite 304, Seven Fields, PA 16046

RIA

CRD#: 3063

Seven Fields, PA

Past

October 21, 2022 - April 9, 2023

ROBERT W. BAIRD & CO. INCORPORATED

RIA

CRD#: 8158

PITTSBURGH, PA

Past

October 21, 2022 - April 9, 2023

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

PITTSBURGH, PA

Past

September 14, 2007 - October 21, 2022

HEFREN-TILLOTSON, INC.

RIA

CRD#: 53

PITTSBURGH, PA

Past

September 10, 2001 - October 21, 2022

HEFREN-TILLOTSON, INC.

CRD#: 53

PITTSBURGH, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Pennsylvania
(1/11/2024)

Pennsylvania
(1/23/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/11/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/2/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 8/29/2001

Financial and Operations Principal Examination

SRO Registrations

FINRA

Current Firm

E. E. POWELL & COMPANY INC.

E. E. POWELL & COMPANY INC. | ELMER E. POWELL & COMPANY

CRD#: 3063 / SEC#: , 8-8193

Pennsylvania

Registered Investment Advisory firm - SEC (6/30/2022 Approved)

Texas

Registered Investment Advisory firm - SEC (9/15/2022 Conditional Restricted)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

200 Northpointe Circle Suite 304, Seven Fields, PA 16046

Mailing Address

200 Northpointe Circle Suite 304, Seven Fields, PA 16046

Phone number

(724) 776-7600

Established

Pennsylvania since 01/01/1996

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (21 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
MOFFATT, LEE DAVID	PRESIDENT / CCO	2267891
WHALEN, RICHARD EDWARD	EXECUTIVE DIRECTOR	807493
WHALEN, ANDREW JAMES	SECRETARY	6400127
NIESSLEIN, JOSEPH M	FINOP/PFO/POO	3057789

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.

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Firm Stability Insights

Joseph M. Niesslein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph M Niesslein's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Joseph M Niesslein's CRS (Customer Relationship Summary).

Certified licenses

Experience

E. E. POWELL & COMPANY INC.

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

HEFREN-TILLOTSON, INC.

HEFREN-TILLOTSON, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/11/2004

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/2/2004

Series 27

Date: 8/29/2001

FINRA

Current Firm

E. E. POWELL & COMPANY INC.

Contact information

FINRA licenses (21 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

E. E. POWELL & COMPANY INC.

TRUST BUT VERIFY

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