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Detailed Report
MICHAEL PAUL NIELSEN
MICHAEL NIELSEN
CRD#: 5989479
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 219 MAIN ST N
STILLWATER, MN 55082
Registration History
201220142016201820202022202420262 FIRMS2024 - 2024 (<1 year)2 FIRMS2024 - Present (<1 year)BWTS PROPRIETARY TRADING GROUP LLC (CRD# 148117)2012 - 2012 (<1 year)
License(s)

State Registrations

B
Minnesota 12/13/2024
B
South Dakota 1/23/2025
IA
Minnesota 12/13/2024
B
Utah 1/29/2025
B
North Dakota 1/23/2025
B
Wisconsin 1/23/2025

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
219 MAIN ST N, STILLWATER, MN 55082
Registered with this firm since 12/13/2024
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
219 MAIN ST N, STILLWATER, MN 55082
Registered with this firm since 12/13/2024
Previous Registration(s)
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IA
 05/20/2024 - 12/03/2024 WELLS FARGO ADVISORS (CRD#:19616) MINNEAPOLIS, MN
B
 04/11/2024 - 12/03/2024 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) MINNEAPOLIS, MN
B
 09/06/2012 - 12/04/2012 WTS PROPRIETARY TRADING GROUP LLC (CRD#:148117) NEW YORK, NY
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.