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Detailed Report
Austin Tyler Nielson
AUSTIN NIELSON, austin t nielson
CRD#: 6285487
IA
Investment Adviser
B
Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 OKAHUMPKA, FL
Registration History
20142015201620172018201920202021202220232024202520263 FIRMS2014 - 2014 (<1 year)2 FIRMS2014 - 2020 (6 years)2 FIRMS2021 - 2024 (2 years)2 FIRMS2024 - Present (1 year)
License(s)

State Registrations

B
Colorado 4/3/2024
B
New York 4/3/2024
B
Delaware 9/13/2024
B
Ohio 1/17/2025
B
Florida 4/3/2024
B
Pennsylvania 6/24/2024
IA
Florida 4/4/2024
B
Texas 7/18/2024
B
Massachusetts 9/13/2024
B
Vermont 9/13/2024
B
New Jersey 4/3/2024

SRO Registrations

B
 FINRA

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
ADVICE AND PLANNING SERVICES (CRD#:20472)
OKAHUMPKA, FL
10935 SE 177th Place Suite 404, Summerfield, FL 34491
Registered with this firm since 4/3/2024
B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
OKAHUMPKA, FL
10935 SE 177th Place Suite 404, Summerfield, FL 34491
Registered with this firm since 4/3/2024
Previous Registration(s)
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IA
 09/02/2021 - 01/08/2024 CHARLES SCHWAB & CO., INC. (CRD#:5393) Lone Tree, CO
B
 09/02/2021 - 01/08/2024 CHARLES SCHWAB & CO., INC. (CRD#:5393) Lone Tree, CO
IA
 10/15/2014 - 11/13/2020 ADVICE AND PLANNING SERVICES (CRD#:20472) DENVER, CO
B
 10/15/2014 - 11/13/2020 TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472) DENVER, CO
B
 09/08/2014 - 09/24/2014 OPTIONSXPRESS, INC. (CRD#:103849) Lone Tree, CO
IA
 05/12/2014 - 08/12/2014 EDWARD JONES (CRD#:250) AURORA, CO
B
 02/25/2014 - 08/12/2014 EDWARD JONES (CRD#:250) AURORA, CO
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.