Thomas A. Nissen
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.
Thomas Albert Nissen, who also goes by Tom Nissen, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1975. Thomas had worked at 18 firms and has passed the Series 63, PC, Series 5 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
July 1, 2003 - April 27, 2012
CALDWELL INTERNATIONAL SECURITIES
July 2, 2002 - September 25, 2003
SHELMAN SECURITIES CORP.
March 19, 2001 - July 1, 2002
SALOMON GREY FINANCIAL CORPORATION
December 19, 2000 - March 28, 2001
AUERBACH, POLLAK & RICHARDSON INC.
November 14, 1997 - December 19, 2000
AMERICAN FRONTEER FINANCIAL CORPORATION
June 13, 1996 - November 19, 1997
H.J. MEYERS & CO., INC.
May 9, 1996 - June 13, 1996
LLOYD WADE SECURITIES INC.
January 18, 1996 - June 17, 1996
MEYERS POLLOCK ROBBINS, INC.
September 28, 1995 - December 31, 1995
ATLANTIC PACIFIC FINANCIAL, INC.
January 7, 1991 - November 8, 1993
OSAIC FA, INC.
January 7, 1991 - December 31, 1994
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 2, 1989 - January 7, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 2, 1989 - January 7, 1991
PRUCO SECURITIES, LLC.
July 5, 1989 - October 26, 1989
CARR-FRIESENHAHN & COMPANY, INC.
October 21, 1987 - July 1, 1989
BLINDER, ROBINSON & CO., INC.
August 8, 1983 - October 3, 1986
LEHMAN BROTHERS INC.
February 24, 1978 - August 31, 1983
MORGAN STANLEY DW INC.
October 23, 1975 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
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
PC
Date: 1/13/1998
AMEX Put and Call ExamSeries 5
Date: 12/12/1981
Interest Rate Options ExaminationCurrent Firm
CALDWELL INTERNATIONAL SECURITIES
CRD#: 104323 / SEC#: , 8-52771
Contact information
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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