J. Cary Nielsen
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.
J. Cary Nielsen, who also goes by J C Nielsen ^^^, James C Nielsen ^^^, James Cary Nielsen ^^^, James Cary Nielsen, James^james^^j Cary Nielsen ^^^, was a registered financial professional .
J. Cary is a previously registered financial professional and started their career in finance in 1983. J. Cary had worked at 4 firms and has passed the Series 66, Series 7 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
November 13, 2013 - January 23, 2014
FMN CAPITAL CORPORATION
February 3, 2011 - July 17, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 7, 2011 - July 17, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 22, 1984 - July 12, 1984
TITAN/VALUE EQUITIES GROUP, INC.
June 8, 1983 - October 5, 1984
USLIFE EQUITY SALES CORP.
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: 7/12/1980
Registered Representative ExaminationCurrent Firm
FMN CAPITAL CORPORATION
CRD#: 38105 / SEC#: , 8-48082
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JEFFREY G. MERWIN IRREVOCABLE TRUST DATED 12.29.2021 | OWNER | |
| MATTHEW M. MERWIN IRREVOCABLE TRUST DATED 12.28.2021 | OWNER | |
| JOHN J. MERWIN IRREVOCABLE TRUST DATED 12.28.2021 | OWNER | |
| MERWIN, JOHN J | TRUSTEE | 6249352 |
| MERWIN, MATTHEW SCOTT | FOUNDER/OWNER | 1142898 |
| MERWIN, JEFFREY GEORGE | CHIEF COMPLIANCE OFFICER/TRUSTEE | 5165996 |
| MERWIN, MATTHEW MICHAEL | FINOP, PFO, POO/TRUSTEE | 5930281 |
| TICKEL, GARY ARNOLD | ALTERNATE FINOP | 1100279 |
Disclosures
| Regulatory Event | 1 |
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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