Nicholas J. Aalbers
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.
Nicholas John Aalbers, who also goes by Nicholas John Aalbers N/a, Nick Aalbers, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1981. Nicholas had worked at 8 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2015 - December 15, 2015
CONCORD WEALTH BROKERAGE, INC.
September 11, 2006 - December 31, 2012
DEWAAY FINANCIAL NETWORK, LLC
February 1, 2001 - January 4, 2017
DEWAAY CAPITAL MANAGEMENT
April 11, 2000 - September 11, 2006
VSR FINANCIAL SERVICES, INC.
January 25, 1993 - August 25, 1999
OSAIC WEALTH, INC.
August 5, 1991 - December 17, 1992
NATIONWIDE FUND DISTRIBUTORS LLC
October 28, 1985 - August 31, 1989
PRINCIPAL SECURITIES, INC.
April 11, 1984 - November 12, 1985
TOWER SQUARE SECURITIES, INC.
December 15, 1981 - December 8, 1982
PRINCIPAL SECURITIES, INC.
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
Series 1
Date: 4/19/1980
Registered Representative ExaminationCurrent Firm
CONCORD WEALTH BROKERAGE, INC.
CRD#: 24999 / SEC#: , 8-41511
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LOPEZ WEALTH MANAGEMENT GROUP, LLC | SOLE MEMBER | |
| LOPEZ, JONATHAN WADE | PRESIDENT & CEO | 1534582 |
| WEATHERLY, JONATHAN ROBERT | CHIEF COMPLIANCE OFFICER |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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