Royce N. Nies
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.
Royce Nickolase Nies was a registered financial professional .
Royce is a previously registered financial professional and started their career in finance in 1976. Royce had worked at 7 firms and has passed the Series 65, Series 63, PC, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2013 - November 2, 2015
BERGANKDV WEALTH MANAGEMENT, LLC
September 9, 2010 - September 7, 2011
WESTERN INTERNATIONAL SECURITIES, INC.
January 10, 2006 - September 7, 2011
WESTERN INTERNATIONAL SECURITIES, INC.
January 19, 2005 - November 28, 2011
NIES FINANCIAL GROUP INC.
April 23, 2002 - October 12, 2005
FIRST ALLIED SECURITIES, INC.
September 28, 2000 - January 13, 2006
FIRST ALLIED SECURITIES, INC.
March 17, 1997 - October 25, 2000
D.E. FREY & COMPANY, INC.
May 5, 1978 - March 19, 1997
DAIN RAUSCHER INCORPORATED
January 28, 1976 - May 5, 1978
DAIN, KALMAN & QUAIL, 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: 6/1/1977
AMEX Put and Call ExamSeries 8
Date: 1/7/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BERGANKDV WEALTH MANAGEMENT, LLC
CRD#: 143038 / SEC#: 801-67536
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,977 |
| AUM (Assets Under Management) | $ 2,080,470,250 |
Red Flags
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