Joseph A. 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.
Joseph Allen Nielsen, who also goes by Joe Nielsen, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1977. Joseph had worked at 15 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 1991 - April 12, 1993
WESTONKA INVESTMENTS, INC.
January 17, 1991 - October 22, 1991
MATHEWS, HOLMQUIST & ASSOCIATES, INC.
May 31, 1989 - January 3, 1990
PROTECTIVE GROUP SECURITIES CORPORATION
February 6, 1989 - April 29, 1989
JP MICHAEL CO.
January 30, 1987 - January 14, 1989
KIMBRIDGE & CO., INC.
November 18, 1986 - December 15, 1986
ABBEY-ASHFORD SECURITIES, INC.
November 29, 1984 - December 20, 1986
ROBERT S. C. PETERSON, INC.
January 19, 1984 - November 19, 1984
ENGLER-BUDD & COMPANY INC.
June 3, 1982 - February 1, 1984
MIDWEST DISCOUNT SECURITIES, INC.
November 25, 1980 - July 11, 1989
MORGAN STANLEY DW INC.
November 14, 1979 - July 21, 1981
J. P. HOLDAHL & ASSOC., INC.
July 5, 1979 - December 5, 1979
P. J. KISCH & CO., INC.
September 26, 1978 - August 16, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 25, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
April 21, 1977 - December 22, 1986
DAIN RAUSCHER 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
Current Firm
WESTONKA INVESTMENTS, INC.
CRD#: 15542 / SEC#: , 8-32349
Contact information
Documents
Red Flags
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.
