Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Edward Nielsen is a financial advisor with over 40 years of experience in the industry. James is registered with RBC Capital Markets, LLC and has a wide range of experience with both individual and institutional clients. James has held previous roles at several firms including Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, Wachovia Securities, LLC, Prudential Securities Incorporated, PaineWebber Incorporated, Sutro & Co. Incorporated, and Dean Witter Reynolds Inc. James's experience and expertise make him a valuable resource for investors seeking advice and guidance in their financial planning.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
CA
06/15/2012 - Present
RBC Capital Markets, LLC (SAN JOSE CA)
CA
06/01/2009 - 06/26/2012
MORGAN STANLEY SMITH BARNEY (SAN JOSE CA)
CA
06/04/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SAN JOSE CA)
CA
07/01/2003 - 05/31/2007
WACHOVIA SECURITIES, LLC (SAN JOSE CA)
NY
12/14/1994 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
10/28/1985 - 01/11/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
08/19/1983 - 11/11/1985
SUTRO & CO. INCORPORATED
NA
12/20/1980 - 08/19/1983
DEAN WITTER REYNOLDS INC.
IA
Issued 02/22/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/17/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/19/1986
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/18/1995
Series 3 - National Commodity Futures Examination
BC
Issued 12/20/1980
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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