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Alicia Nicole Kim

Rbc Capital Markets, LLC

Duluth, MN

Duluth, MN

CRD 5112807

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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:

Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-05-09
MN RA APPROVED 2024-04-12
  • TX RA
    APPROVED_RES
    Since 2024-05-09
  • MN RA
    APPROVED
    Since 2024-04-12

Branch Locations

1420 London Road Suite 201, Duluth, MN 55805-2425 • United States

Duluth, MN • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Duluth MN 01/2011 11/2016
Wells Fargo Clearing Services, Llc Duluth MN 11/2016 04/2024
Rbc Capital Markets, Llc Duluth MN 04/2024 Present
Previous Registrations
  • 2011-01-03 → 2024-04-16
    Wells Fargo Clearing Services, Llc
    Duluth, MN
    Sioux Falls, SD
    Minneapolis, MN
    Wayzata, MN
    Minneapolis, MN
  • 2007-02-14 → 2011-01-03
    Wells Fargo Investments, Llc
    Duluth, MN
    Duluth, MN
    Duluth, MN
    Duluth, MN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-02-13
  • S66 Uniform Combined State Law Examination
    2007-02-13
Other Names
  • Alicia Nicole Nelson

View on SEC IAPD

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Nearby Investors

JOHN PAUL LAWIEN
JOY ELIZABETH DALBERG
TRAVIS J KLINGEISEN

Nearby Offices

WELLS FARGO CLEARING SERVICES, LLC · DULUTH, MN
EDWARD JONES · DULUTH, MN
EDWARD JONES · DULUTH, MN

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