Jonathan Nieves
Professional Summary
Jonathan Nieves is a registered financial advisor currently at CAPACUITY SECURITIES, INC. located in Latham, New York. Jonathan is registered as a RR (Registered Representative) and started their career in finance in 2024. Jonathan has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
NVEST FINANCIAL, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
NVEST FINANCIAL, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
NVEST FINANCIAL, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
NVEST FINANCIAL, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Years of Experience
3 years in the financial services industry
Current & Past Employments
Similar Advisors
NVEST FINANCIAL, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Current Firm
CAPACUITY SECURITIES, INC. | JOHNSON SECURITIES, INC.
Contact Information
Main Address
300 International Pkwy, #350, Lake Mary, FL 32746Mailing Address
300 International Pkwy, #350, Lake Mary, FL 32746Phone Number
(407) 949-6889Established
Pennsylvania since 05/14/1984Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (46 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Similar Advisors
NVEST FINANCIAL, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
NVEST FINANCIAL, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
(2/4/2025)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
NVEST FINANCIAL, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
CRS (Client Relationship Summary) - BD
Click below to view Jonathan Nieves's CRS (Customer Relationship Summary).
Similar Advisors
NVEST FINANCIAL, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
