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JN

John D. Nealson

Some features on this profile are disabled
CRD#: 4774249
JN

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.

John David Nealson was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 2004. John had worked at 8 firms and has passed the Series 66, Series 63, 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 20, 2017 - April 6, 2018

FIRST DOMINION CAPITAL CORP.

BD
CRD#: 16330
RICHMOND, VA
Past

September 8, 2016 - December 13, 2016

BIC DISTRIBUTORS, LLC

BD
CRD#: 152860
PHOENIX, AZ
Past

July 30, 2015 - September 15, 2016

NEALSON INVESTMENTS, LLC

RIA
CRD#: 175127
PARKER, CO
Past

September 7, 2007 - September 19, 2014

TOUCHSTONE ADVISORS INC

RIA
CRD#: 107028
CINCINNATI, OH
Past

September 5, 2007 - September 19, 2014

TOUCHSTONE SECURITIES, INC.

BD
CRD#: 1526
CINCINNATI, OH
Past

July 28, 2006 - August 30, 2007

OLD MUTUAL INVESTMENT PARTNERS

BD
CRD#: 44916
DENVER, CO
Past

July 18, 2005 - July 31, 2006

NEALSON INVESTMENTS LLC

RIA
CRD#: 134681
AURORA, CO
Past

April 30, 2004 - July 1, 2005

AFFILIATED FUNDING CORP.

BD
CRD#: 104256
DENVER, 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

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/28/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/23/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/6/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/29/2004
General Securities Representative Examination

Current Firm

FD
FIRST DOMINION CAPITAL CORP.
FIRST DOMINION CAPITAL CORP | VONTOBEL FUND DISTRIBUTORS, INC. | TYNDALL-NEWPORT DISTRIBUTORS, INC. | TYNDALL DISTRIBUTORS, INC. | NEWPORT DISTRIBUTORS, INC. | FIRST DOMINION CAPITAL CORPORATION | FIRST DOMINION CAPITAL CORP.

CRD#: 16330 / SEC#: , 8-33719

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

Main Address
8730 Stony Point Parkway Building Iii, Suite 205, Richmond, VA 23235
Mailing Address
8730 Stony Point Parkway Suite 205, Richmond, VA 23235
Phone number
(804) 304-1689
Established
Virginia since 11/01/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
JOHN PASCO III REVOCABLE TRUST DATED MAY 10, 2004OWNER
PRICE, JOHN CLIFFORDOWNER1707529
ANCI, CHRISTOPHER FRANCISPRESIDENT, FINOP, PRINCIPAL2747555
PASCO, JOHN IIITRUSTEE357414
PORTWOOD, WILLIAM BOYCECHIEF COMPLIANCE OFFICER4853700
VERMILLERA, SANDRA ZEMBACHSVICE PRESIDENT, TREASURER, PRINCIPAL6376063

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

FIRST DOMINION CAPITAL CORP.

CRD#: 16330

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