Robert J. Nies
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.
Robert John Nies JR, who also goes by Bob Nies, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1968. Robert had worked at 4 firms and has passed the Series 1, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 1986 - December 23, 1986
CERTIFIED CAPITAL CORPORATION
July 3, 1974 - June 24, 1986
NIES/BRAUER SECURITIES, INC.
December 26, 1973 - July 5, 1974
JOHNSTON E BELL COMPANY
March 15, 1968 - November 9, 1973
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 3/12/1968
Registered Representative ExaminationF04
Date: 5/22/1974
Financial Principal ExaminationSeries 00
Date: 2/2/1974
General Securities Principal ExaminationCurrent Firm
CERTIFIED CAPITAL CORPORATION
CRD#: 14917 / SEC#: , 8-31403
Contact information
Documents
Red Flags
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