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Detailed Report
ALEC L NIELSEN
ALEC LEON NIELSEN, ALEC NIELSEN
CRD#: 5704314
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 13621 UNIVERSITY AVENUE
CLIVE, IA 50325
Registration History
2010201220142016201820202022202420262 FIRMS2011 - 2012 (1 year)2 FIRMS2014 - 2015 (1 year)2 FIRMS2015 - 2016 (<1 year)2 FIRMS2016 - 2018 (2 years)2 FIRMS2023 - Present (1 year)BSYMETRA SECURITIES, INC. (CRD# 739)2019 - 2022 (3 years)BDIRECTED SERVICES LLC (CRD# 21675)2012 - 2014 (1 year)BMETLIFE INVESTORS DISTRIBUTION... (CRD# 107622)2009 - 2011 (1 year)
License(s)

State Registrations

B
Alabama 6/1/2023
B
Nebraska 6/1/2023
B
Arizona 6/1/2023
B
New Mexico 1/9/2024
B
California 6/1/2023
B
New York 6/1/2023
B
Colorado 6/1/2023
B
North Carolina 6/1/2023
B
District of Columbia 6/1/2023
B
Ohio 6/5/2023
B
Florida 5/23/2023
B
Oklahoma 6/1/2023
B
Georgia 5/23/2023
B
Pennsylvania 5/23/2023
B
Illinois 6/1/2023
B
South Carolina 3/25/2025
B
Indiana 6/1/2023
B
South Dakota 6/1/2023
B
Iowa 5/23/2023
B
Tennessee 1/11/2024
IA
Iowa 6/1/2023
B
Texas 5/23/2023
B
Kentucky 6/1/2023
IA
Texas 6/1/2023
B
Michigan 6/1/2023
B
Utah 6/1/2023
B
Minnesota 6/1/2023
B
Virginia 10/18/2024
B
Missouri 6/1/2023
B
Washington 5/23/2023
B
Montana 6/1/2023

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
13621 UNIVERSITY AVENUE, CLIVE, IA 50325
Registered with this firm since 6/1/2023
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
13621 UNIVERSITY AVENUE, CLIVE, IA 50325
Registered with this firm since 5/23/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 05/23/2019 - 11/09/2022 SYMETRA SECURITIES, INC. (CRD#:739) BELLEVUE, WA
IA
 04/04/2016 - 10/20/2018 INVESTMENT ADVISORS CORP (CRD#:117531) WEST DES MOINES, IA
B
 04/04/2016 - 10/20/2018 BROKER DEALER FINANCIAL SERVICES CORP. (CRD#:8073) WEST DES MOINES, IA
IA
 06/24/2015 - 03/10/2016 ARETE WEALTH ADVISORS, LLC (CRD#:145488) WEST DES MOINES, IA
B
 06/18/2015 - 03/10/2016 ARETE WEALTH MANAGEMENT, LLC (CRD#:44856) WEST DES MOINES, IA
IA
 05/23/2014 - 06/10/2015 SYNERGY INVESTMENT GROUP, LLC (CRD#:46035) KANNAPOLIS, NC
B
 05/05/2014 - 06/10/2015 JBS LIBERTY SECURITIES, INC. (CRD#:36179) WEST DES MOINES, IA
B
 09/06/2012 - 04/07/2014 DIRECTED SERVICES LLC (CRD#:21675) DES MOINES, IA
IA
 08/31/2011 - 08/28/2012 DEWAAY CAPITAL MANAGEMENT (CRD#:116214) CLIVE, IA
B
 02/23/2011 - 08/28/2012 DEWAAY FINANCIAL NETWORK, LLC (CRD#:30767) CLIVE, IA
B
 08/27/2009 - 03/07/2011 METLIFE INVESTORS DISTRIBUTION COMPANY (CRD#:107622) WEST DES MOINES, IA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.