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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

Joseph Nielsen

Advisor at ALIGHT FINANCIAL ADVISORS, LLC

CHARLOTTE, NC | Riverton, UT

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Search this name across graphsid dfx:ria:60c4d5ae-53d7-6245-94fd-2c54d662dc01

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Jul 17, 2018 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ALIGHT FINANCIAL ADVISORS, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Nov 21, 2016
First registration: Jul 17, 2018
Dual registered: yes, broker-dealer
IAPD individual key: 6672615

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ALIGHT FINANCIAL ADVISORS, LLC	Independent wealth	Mar 5, 2024	n/a	yes	Riverton, UT\|CHARLOTTE, NC	Current employment
BANKERS LIFE ADVISORY SERVICES, INC.	Bd affiliated wealth	Feb 6, 2023	Jun 22, 2023	no	CHICAGO, IL	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Aug 10, 2022	Feb 6, 2023	no	Westlake, TX\|Herriman, UT	Previous registration
EMPOWER ADVISORY GROUP, LLC	Bd affiliated wealth	Jan 7, 2022	Mar 14, 2022	no	Herriman, UT\|GREENWOOD VILLAGE, CO	Previous registration
WELLS FARGO ADVISORS	Wirehouse	May 20, 2021	Sep 24, 2021	no	SALT LAKE CITY, UT\|ST. LOUIS, MO	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jul 17, 2018	Oct 28, 2019	no	SALT LAKE CITY, UT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
BANKERS LIFE ADVISORY SERVICES, INC.	ALIGHT FINANCIAL ADVISORS, LLC	Jun 22, 2023	Mar 5, 2024	257	Firm change	Ibd to RIA
CHARLES SCHWAB & CO., INC.	BANKERS LIFE ADVISORY SERVICES, INC.	Feb 6, 2023	Feb 6, 2023	0	Firm change	Ibd to ibd
EMPOWER ADVISORY GROUP, LLC	CHARLES SCHWAB & CO., INC.	Mar 14, 2022	Aug 10, 2022	149	Firm change	Other
WELLS FARGO ADVISORS	EMPOWER ADVISORY GROUP, LLC	Sep 24, 2021	Jan 7, 2022	105	Firm change	Other
FIDELITY PERSONAL AND WORKPLACE ADVISORS	WELLS FARGO ADVISORS	Oct 28, 2019	May 20, 2021	570	Firm change after gap	Ibd to wirehouse

Relationships

Registered with (6)

→ ALIGHT FINANCIAL ADVISORS, LLCRegistered adviserregistration: current employment
Mar 5, 2024 to presentfactForm ADV
→ BANKERS LIFE ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Feb 6, 2023 to Jun 22, 2023factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Aug 10, 2022 to Feb 6, 2023factForm ADV
→ EMPOWER ADVISORY GROUP, LLCRegistered adviserregistration: previous registration
Jan 7, 2022 to Mar 14, 2022factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
May 20, 2021 to Sep 24, 2021factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jul 17, 2018 to Oct 28, 2019factForm ADV

Dated events

Occurred
Jun 22, 2023
Advisor changed firm
Joseph Nielsen left Bankers Life Advisory Services, Inc. for Alight Financial Advisors, Llc (registered 2024-03-05)
Form ADVobserved 6 days ago
Occurred
Feb 6, 2023
Advisor changed firm
Joseph Nielsen left Charles Schwab & Co., Inc. for Bankers Life Advisory Services, Inc. (registered 2023-02-06)
Form ADVobserved 6 days ago
Occurred
Mar 14, 2022
Advisor changed firm
Joseph Nielsen left Empower Advisory Group, Llc for Charles Schwab & Co., Inc. (registered 2022-08-10)
Form ADVobserved 6 days ago