Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Nelson is a registered representative with RBC Capital Markets, LLC. Susan has been in the industry since 2012 and is licensed to provide securities advice and services in Minnesota and Massachusetts. Susan has held various roles within the financial services industry, including principal, operations professional and general securities representative. Susan has a strong background in providing financial planning and investment advisory services to clients. She is a Series 66, Series 10, Series 9, Series 24, Series 7 and SIE licensed professional. Susan is passionate about helping clients achieve their financial goals.
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
MN
02/09/2018 - Present
RBC Capital Markets, LLC (MINNEAPOLIS MN)
BOTH
Issued 02/09/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/13/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/13/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/04/2017
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/07/2017
Series 7 - General Securities Representative Examination
BC
Issued 04/28/2012
Series 99 - Operations Professional 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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