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RM

Richard L. Millett

W.G. NIELSEN & CO.
Denver, CO 80209
Some features on this profile are disabled
CRD#: 5870925
RM

Professional summary

Richard Leonard Millett JR., who also goes by Richard Leonard Millett, is a registered financial professional currently at W.G. NIELSEN & CO. located in Denver, Colorado.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2010. Richard has worked at 1 firm and has passed the SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard Leonard Millett

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 Richard Leonard Millett JR.'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

December 20, 2010 - Present

W.G. NIELSEN & CO.

Office #1: 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
(12/22/2010)

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 12/18/2010
Investment Banking Registered 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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