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RB

Ronald M. Barber

W.G. NIELSEN & CO.
Denver, CO 80209
Some features on this profile are disabled
CRD#: 4566371
RB

Professional summary

Ronald Marsh Barber is a registered financial professional currently at W.G. NIELSEN & CO. located in Denver, Colorado.

Ronald is registered as a RR (Registered Representative) and started their career in finance in 2002. Ronald has worked at 1 firm and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ronald Marsh Barber's 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

August 14, 2002 - Present

W.G. NIELSEN & CO.

Office #1: 3200 Cherry Creek Drive South Suite 470, Denver, CO 80209Office #2: 3200 Cherry Creek Drive South Suite 470, Denver, CO 80209
BD
CRD#: 41093
Denver, CO

State Registrations and Notice Filings

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

RR
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

RR
Colorado
(8/14/2002)

Exams

State Security Law Exam
RR
Series 63
Date: 9/11/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/13/2002
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

WN
W.G. NIELSEN & CO.
W.G. NIELSEN & CO.

CRD#: 41093 / SEC#: , 8-49316

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
3200 Cherry Creek Drive South Suite 470, Denver, CO 80209
Mailing Address
3200 Cherry Creek Drive South Suite 470, Denver, CO 80209
Phone number
(303) 830-1515
Established
Colorado since 03/12/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NIELSEN, WAYNE GEORGEPRESIDENT1945960
CROSIER, TERESA LYNNFINANCIAL AND OPERATIONAL PRINCIPAL, CHIEF COMPLIANCE OFFICER1945912

Disclosures

Regulatory Event1

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.

Company Information

W.G. NIELSEN & CO.

CRD#: 41093Denver, CO 80209

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