James Nielsen, financial advisor Tucson AZ
88 score

James Nielsen

CRD Number: 6218265
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

James Nielsen (CRD# 6218265) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Tucson, AZ and has over 3 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, N.a. Chandler, AZ Jun 2014 - Current 3
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chandler, AZ Mar 2014 - Current 3
Kforce Phoenix, AZ Feb 2014 - Mar 2014 < 1
Accountemps Phoenix, AZ Dec 2013 - Feb 2014 < 1
Make A Wish Foundation Phoenix, AZ Aug 2013 - Dec 2013 < 1
Goldman Sachs Salt Lake City, UT May 2013 - Aug 2013 < 1
Accountemps Phoenix, AZ Jan 2013 - May 2013 < 1
Southwest Airlines Dallas, TX Aug 2012 - Jan 2013 < 1
Banner Health Phoenix, AZ Jan 2012 - Aug 2012 < 1
Bristol-myers Squibb New Brunswick, NJ May 2011 - Jan 2012 < 1
Apple Inc. Phoenix, AZ May 2010 - May 2011 1
Arizona State University Phoenix, AZ Oct 2009 - May 2010 < 1
Fry's Food And Drug Phoenix, AZ Feb 2009 - Oct 2009 < 1
Unemployed Phoenix, AZ Mar 2003 - Feb 2009 5
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jul 2014
Contact Info for James Nielsen
Phone Number: 800-637-7455
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
88
Clean Record
This advisor has a clean track record with regulators.

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