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CN

Christina S. Nielson

DAI SECURITIES
New York, NY 10001
Some features on this profile are disabled
CRD#: 4866971
CN

Professional summary

Christina Suzanne Nielson is a registered financial professional currently at DAI SECURITIES, LLC located in New York, New York.

Christina is registered as a RR (Registered Representative) and started their career in finance in 2004. Christina has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

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 Christina Suzanne Nielson'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

October 7, 2019 - Present

DAI SECURITIES, LLC

Office #1: 368 9th Avenue 6th Floor, New York, NY 10001Office #2: 650 Town Center Drive Suite 1200, Costa Mesa, CA 92626
BD
CRD#: 36673
New York, NY
Past

June 13, 2012 - October 9, 2019

PRIMEX

BD
CRD#: 29394
COSTA MESA, CA
Past

October 17, 2011 - May 9, 2012

DFPG INVESTMENTS, LLC

BD
CRD#: 155576
COSTA MESA, CA
Past

May 2, 2011 - September 27, 2011

ORCHARD SECURITIES, LLC

BD
CRD#: 133378
PLEASANT GROVE, UT
Past

January 6, 2005 - April 29, 2011

OMNI BROKERAGE, INC.

BD
CRD#: 16878
ORANGE, CA
Past

October 27, 2004 - December 6, 2004

EMPIRE SECURITIES CORPORATION

BD
CRD#: 2826
EL SEGUNDO, CA

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
Arizona
(1/8/2020)
RR
California
(10/7/2019)
RR
Colorado
(11/17/2020)
RR
Connecticut
(1/8/2020)
RR
Florida
(6/15/2020)
RR
Georgia
(12/8/2021)
RR
Hawaii
(4/20/2021)
RR
Idaho
(4/21/2021)
RR
Illinois
(12/8/2023)
RR
Iowa
(4/20/2021)
RR
Kentucky
(6/3/2021)
RR
Maine
(7/9/2021)
RR
Maryland
(2/2/2022)
RR
Massachusetts
(5/27/2021)
RR
Michigan
(5/25/2021)
RR
Minnesota
(8/10/2021)
RR
Missouri
(12/1/2025)
RR
Montana
(6/8/2020)
RR
Nevada
(1/8/2020)
RR
New Hampshire
(10/5/2025)
RR
New Jersey
(3/3/2020)
RR
New Mexico
(3/18/2021)
RR
New York
(10/7/2019)
RR
North Carolina
(8/25/2021)
RR
Ohio
(1/8/2020)
RR
Oklahoma
(3/9/2021)
RR
Oregon
(1/8/2020)
RR
Pennsylvania
(5/18/2020)
RR
South Carolina
(12/1/2025)
RR
South Dakota
(12/1/2025)
RR
Texas
(1/8/2020)
RR
Utah
(10/7/2020)
RR
Vermont
(7/21/2023)
RR
Virginia
(11/29/2021)
RR
Washington
(10/7/2019)
RR
West Virginia
(12/1/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 11/19/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/26/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/4/2005
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

DS
DAI SECURITIES, LLC
DAI SECURITIES, LLC | LEWIS FINANCIAL GROUP, L.C.

CRD#: 36673 / SEC#: , 8-47393

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

Main Address
2800 Century Parkway Ne Suite 650, Atlanta, GA 30345
Mailing Address
2800 Century Parkway Ne Suite 650, Atlanta, GA 30345
Phone number
(404) 531-7080
Established
Minnesota since 05/31/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 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#
DAI HOLDINGS, LLCMEMBER
CC CAPITAL HOLDINGS, LLCMEMBER
MICHAEL O'TOOLE REAL ESTATE, INC.MEMBER
CARTER, ANA RFINOP4424794
INGBER, MATTHEW ALANCOO3261552
MICHALETZ, CHRISTINE ELLENMANAGING MEMBER6004009
MICHALETZ, JOSEPH GERARDCEO1327534
STRAUSS, ERNEST GEORGE IVCCO4660664

Disclosures

Regulatory Event2

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

DAI SECURITIES, LLC

CRD#: 36673New York, NY 10001

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