Brian W. Niessen
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.
Brian William Niessen was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2001. Brian had worked at 11 firms and has passed the Series 63, SIE 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
February 23, 2018 - December 21, 2018
NATIONAL SECURITIES CORPORATION
May 23, 2016 - February 24, 2018
VFINANCE INVESTMENTS, INC
January 8, 2014 - January 20, 2015
CETERA WEALTH SERVICES, LLC
July 10, 2012 - January 20, 2015
CETERA INVESTMENT SERVICES LLC
July 10, 2012 - January 20, 2015
CETERA FINANCIAL SPECIALISTS LLC
July 10, 2012 - January 20, 2015
CETERA ADVISORS LLC
July 10, 2012 - January 20, 2015
CETERA WEALTH SERVICES, LLC
January 13, 2012 - June 26, 2012
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 6, 2009 - May 26, 2010
WELLS FARGO SECURITIES, LLC
May 14, 2007 - November 6, 2009
WELLS FARGO BROKERAGE SERVICES, L.L.C.
July 22, 2003 - May 21, 2007
RBC CAPITAL MARKETS, LLC
May 10, 2001 - July 28, 2003
PIPER SANDLER & CO.
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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
