Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicole? Claim Your ProfileNicole Amy Nelson is an active investment advisor representative with RBC Capital Markets, LLC. Nicole has been in the securities industry since December 1996. Nicole has a Series 6, 7, 63, and 65 licenses. Nicole has been registered with RBC Capital Markets, LLC since December 2021. Prior to joining RBC Capital Markets, LLC, Nicole was employed by Wells Fargo Clearing Services, LLC, Morgan Stanley, Deutsche Bank Securities Inc., Compass Securities Corporation, and Pruco Securities Corporation. Nicole specializes in providing financial planning, pension consulting, educational seminars, selection of other advisors, and portfolio management for individuals, businesses, and pooled investment vehicles.
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.
1
2
MA
12/16/2021 - Present
RBC Capital Markets, LLC (NORWELL MA)
MA
06/29/2018 - 10/14/2021
WELLS FARGO CLEARING SERVICES, LLC (BOSTON MA)
MA
01/23/2014 - 07/09/2018
MORGAN STANLEY (BOSTON MA)
MA
05/10/2001 - 01/16/2014
DEUTSCHE BANK SECURITIES INC. (BOSTON MA)
MA
02/12/2001 - 05/23/2001
COMPASS SECURITIES CORPORATION (BRAINTREE MA)
NJ
11/09/1999 - 07/19/2000
PRUCO SECURITIES CORPORATION (NEWARK NJ)
MA
04/12/1999 - 10/20/1999
COMPASS SECURITIES CORPORATION (BRAINTREE MA)
NY
09/12/1994 - 08/18/1997
SCUDDER INVESTOR SERVICES, INC. (NEW YORK NY)
IA
Issued 11/16/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/30/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/01/2001
Series 7 - General Securities Representative Examination
BC
Issued 09/09/1994
Series 6 - Investment Company Products/Variable Contracts 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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