Nicholas Jeffrey Nelson

Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2019 → Present
  Rbc Capital Markets, Llc.
  Dakota Dunes, SD
• 07/2007 → 03/2019
  Briar Cliff University
  Sioux City, IA

Other Businesses

(1) NAME OF ENTITY: Multiple independent school districts; ADDRESS: The host school pays the officials and is the entity, there are several different entities and entity addresses; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Officiating high school basketball games; CAPACITY: Independent Contractor/Consultant; START DATE: 11/2019; DUTIES: Officiating high school basketball games; HOURS DEVOTED PER MONTH: 4; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0; (2) Name: Fox Run Investors, LLC Address: Dakota Dunes, SD Business Description: Ownership of an apartment complex in Sergeant Bluff, IA Business is not investment related Projected Start Date: 07/31/20 Capacity: Owner - Passive Duties Performed: 5% ownership, and a small role in decision making in the operation of the complex Devoted to this OBA per Month: 0 Hours Devoted to this OBA during business hours: 0 3) Name: Siouxland Estate Planning Council Address: Sioux City, IA Business Description: Organization that meets monthly, primarily a networking and educational Business is not investment related Projected Start Date: 10/06/20 Capacity: Other Duties Performed: Devoted to this OBA per Month: 0 Hours Devoted to this OBA during business hours: 0 4) NAME OF ENTITY: Camp High Hopes ADDRESS: 5804 Correctionville Rd, Sioux City, IA 51106 INVESTMENT/NOT INVESTMENT RELATED: N BUSINESS DESCRIPTION: Non-profit camp for children, teens, and adults with disabilities CAPACITY: Board of Directors START DATE: 8/1/2021 DUTIES: I would be a board member and a member of the finance committee, overseeing the work of the executive director and participating in board member activities. HOURS DEVOTED PER MONTH: 0.25 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (5) NAME OF ENTITY: Sioux City Diocese Catholic Schools Foundation ADDRESS: 1821 Jackson St, Sioux City, IA 51105 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundations that provides grants to Catholic schools in the diocese of Sioux City, IA CAPACITY: Committee/Council Member (not associated with the Board of Directors) START DATE: 11/11/21 DUTIES: Helping with oversight of the Foundation's operations HOURS DEVOTED PER MONTH: 0.5 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0.5 (6) NAME OF ENTITY: NMN Properties Inc ADDRESS: 3538 Strawberry Ln, Sioux City, IA 51104 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Partnership START DATE: Feb 09, 2026 CAPACITY: Owner DUTIES: Creating an LLC called NMN Properties Inc. with my wife for a house we bought, and we will be renting the home via VRBO. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours

Exams

• S66 Uniform Combined State Law Examination
  2019-07-03

Other Names

• Nic Nelson