Raymond H. Niesslein
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.
Raymond Henry Niesslein was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1978. Raymond had worked at 9 firms and has passed the Series 63, Series 7, Series 1, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 1999 - December 31, 1999
INTERFIRST CAPITAL CORPORATION
April 7, 1995 - September 30, 1999
W.J. GALLAGHER & COMPANY, INC.
December 17, 1992 - March 30, 1995
WILLIAM LAWRENCE SECURITIES, INC.
April 25, 1988 - February 2, 1993
BROKERS INVESTMENT CORPORATION
February 12, 1986 - June 1, 1988
KENNEDY, CABOT & CO.
October 23, 1981 - June 1, 1984
MORGAN STANLEY DW INC.
December 11, 1978 - October 6, 1981
AMERICAN EXPRESS FINANCIAL CORPORATION
December 11, 1978 - October 6, 1981
AMERIPRISE FINANCIAL SERVICES, LLC
December 11, 1978 - October 6, 1981
IDS LIFE INSURANCE COMPANY
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: 12/4/1978
Registered Representative ExaminationCurrent Firm
INTERFIRST CAPITAL CORPORATION
CRD#: 7659 / SEC#: , 8-22805
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MHK INVESTMENT CORPORATION | HOLDING COMPANY | |
| PHILLIPS, BRADFORD ASHLEY | CHAIRMAN, PRESIDENT AND CEO | 1730426 |
| ROGERS, KENNETH WALTER | EXECUTIVE VICE PRESIDENT SALES, DIRECTOR | 500255 |
| ROGERS, PAULA ANDREA | FINANCIAL AND OPERATIONS PRINCIPAL | 2167864 |
| TENNEY, LOUIS RUSSELL | SROP | 1032315 |
| TENNEY, LOUIS RUSSELL | MUNICIPAL BOND PRINCIPAL | 1032315 |
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| Arbitration | 13 |
| Bond | 2 |
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.
