Nicole Amy Nelson

Employer firm

Allworth Financial, L.p. CRD 111167

$33.6B regulatory AUM

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

• 01/2014 → 06/2018
  Morgan Stanley
  Boston, MA
• 06/2018 → 09/2021
  Wells Fargo Clearing Services Llc
  Boston, MA
• 10/2021 → 07/2026
  Rbc Capital Markets, Llc
  Norwell, MA
• 07/2026 → Present
  Allworth Financial
  Norwood, MA
• 07/2026 → Present
  Aw Securities
  Waltham, MA

Previous Registrations

• 2021-12-16 → 2026-07-16
  Rbc Capital Markets, Llc
  Cohasset, MA
  Norwell, MA
  Cohasset, MA
• 2020-11-24 → 2021-10-14
  Wells Fargo Clearing Services, Llc
  Boston, MA

Other Businesses

(1) Name of Entity: Elliot Ventures LLC Non-Investment related Address of Entity: 7901 4th Street N Ste 300 St Petersburg, FL 33702 Nature of OBA: Vacation Rental Property Position/Title/Relationship: Owner - Passive Start Date: 04/07/23 Time Devoted: 5 hours; 1 hour during securities trading hours Duties: Rental property will be managed by Property Manager, so my duties will be minimal as owner.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-11-16
• S63 Uniform Securities Agent State Law Examination
  1994-09-30

Other Names

• Nicole Amy Nelson
• Nicole Amy Mushin
• Nicole Amy Mushin