David J. Nikiel
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.
David John Nikiel, who also goes by David Nikiel, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2006. David had worked at 8 firms and has passed the Series 65, 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 27, 2018 - January 23, 2019
SPIRE WEALTH MANAGEMENT, LLC
February 27, 2018 - January 23, 2019
SPIRE SECURITIES, LLC
October 10, 2016 - May 23, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 25, 2016 - May 23, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 3, 2010 - June 17, 2015
CITIGROUP GLOBAL MARKETS INC.
March 25, 2009 - May 10, 2010
DEMATTEO RESEARCH LLC
January 6, 2009 - March 25, 2009
STANFORD GROUP COMPANY
October 1, 2008 - December 18, 2008
J.P. MORGAN SECURITIES LLC
January 5, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
Primary Firm SEC Registration
SPIRE WEALTH MANAGEMENT, LLC
CRD#: 113908 / SEC#: 801-60468
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
SPIRE WEALTH MANAGEMENT, LLC
CRD#: 113908 / SEC#: 801-60468
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 15,808 |
| AUM (Assets Under Management) | $ 4,617,171,037 |
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.
