Joseph Nielsen is a registered investment advisor, based in Charlotte, NC, with 6 years of industry experience.
Location
9300 Harris Corners Parkway, Suite 105, Charlotte, NC, 28269
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Alight Financial Solutions, LLC
March 2024 - Present · 2 yrs 2 mos
Alight Financial Advisors, LLC
March 2024 - Present · 2 yrs 2 mos
Alight Financial Solutions, LLCBroker
March 2024 - Present · 2 yrs 2 mos
Previous Registrations
Bankers Life Advisory Services, INC.
February 2023 - June 2023 · 4 mos
Bankers Life Securities, INC.Broker
February 2023 - June 2023 · 4 mos
Charles Schwab & CO., INC.
August 2022 - February 2023 · 6 mos
Charles Schwab & CO., INC.Broker
August 2022 - February 2023 · 6 mos
Advised Assets Group, LLC
January 2022 - March 2022 · 2 mos
Gwfs Equities, INC.Broker
January 2022 - March 2022 · 2 mos
Wells Fargo Clearing Services, LLC
May 2021 - September 2021 · 4 mos
Wells Fargo Clearing Services, LLCBroker
May 2021 - September 2021 · 4 mos
Fidelity Personal and Workplace Advisors
July 2018 - October 2019 · 1 yr 3 mos
Fidelity Brokerage Services LLCBroker
December 2016 - October 2019 · 2 yrs 10 mos
State Registrations2 states
NCUT
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.