Nicholas Arthur Nielsen

Current Employers

Employment History

• 09/2013 → 09/2017
  Suntrust Investment Services Inc.
  Atlanta, GA
• 09/2016 → 09/2017
  Suntrust Advisory Services Inc.
  Atlanta, GA
• 09/2017 → 01/2026
  Lpl Financial, Llc
  Charlotte, NC
• 09/2017 → 01/2026
  Independent Advisor Alliance, Llc
  Charlotte, NC
• 01/2026 → Present
  Raymond James Financial Services Inc.
  Charlotte, NC
• 01/2026 → Present
  Raymond James Financial Services Advisors Inc.
  Charlotte, NC

Previous Registrations

• 2017-09-01 → 2026-01-22
  Independent Advisor Alliance, Llc
  Charlotte, NC
  Charlotte, NC
  Charlotte, NC
  Waxhaw, NC
  Charlotte, NC
  Lancaster, SC
• 2016-09-14 → 2017-09-06
  Truist Advisory Services, Inc.
  Indian Trail, NC
  Charlotte, NC
  Matthews, NC
  Charlotte, NC
  Matthews, NC
  Marshville, NC
• 2013-09-03 → 2016-12-31
  Truist Investment Services, Inc.
  Indian Trail, NC
  Matthews, NC
  Charlotte, NC
  Matthews, NC
  Charlotte, NC
  Marshville, NC
  Charlotte, NC
  Waxhaw, NC
  Charlotte, NC
• 2010-05-27 → 2013-09-03
  Pnc Wealth Management Llc
  Gastonia, NC
  Forest City, NC
  Gastonia, NC
  Gastonia, NC
  Rutherfordton, NC
  Shelby, NC
  Greenville, SC
  Louisville, KY
  Charlotte, NC
  Charlotte, NC
  Charlotte, NC
  Charlotte, NC
  Matthews, NC
  Monroe, NC
  Greenville, SC
  Mooresville, NC
  Cornelius, NC
  Rock Hill, SC
  Charlotte, NC
  Charlotte, NC
  Charlotte, NC
  Columbia, SC
  Charlotte, NC
  Ramseur, NC
  Hamlet, NC
  Ashboro, NC
  Sanford, NC
  Sanford, NC
  Siler City, NC
  Asheboro, NC
  Wadeboro, NC
  Southern Pines, NC
  Pinehurst, NC
  Pinehurst, NC
  Wadesboro, NC
  Carthage, NC
  Rockingham, NC
  Greenville, SC
• 2009-11-13 → 2010-04-27
  Pnc Wealth Management Llc
  Louisville, KY
• 2009-09-10 → 2009-11-13
  Natcity Investments, Inc.
  Louisville, KY

Other Businesses

(1)Name of Business: Address: 1300 N Plum Street, Hutchinson, KS, 67501, United States Activity Type: Other Position/Title: Other Investment Related: No Start Date: 01/21/2026 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: ESPN+ Analyst for the NJCAA Basketball Tournament in Hutchinson, Kansas.\n\nThey provide me with a $500 travel stipend. (2)Name of Business: Address: 3540 Toringdon Way Ste 200, Charlotte, NC, 28277-4650, United States Activity Type: Non-variable Insurance Position/Title: Broker, Agent Investment Related: Yes Start Date: 01/21/2026 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: In the past, we have used Highland Capital Brokerage for our clients when they had insurance needs. (3)Name of Business: Address: 3142 sherman dr, Lancaster, SC, 29720, United States Activity Type: Other Position/Title: Author Investment Related: Yes Start Date: 01/21/2026 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Author of the book - Visual Finance (4)Name of Business: Know My Plan, LLC Address: 3540 Toringdon Way Ste 200, Charlotte, NC, 28277-4650, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 01/21/2026 Hours per month devoted to this business: 21-40 Hours per month devoted to this business during trading hours: 21-40 Description of duties: Role in relation to activity: Advisor and Owner/Proprietor\n\n50% owner of Know My Plan\n\nJeff Walters owns the other 50%

Exams

• S65 Uniform Investment Adviser Law Examination
  2009-09-09
• S63 Uniform Securities Agent State Law Examination
  2006-07-07

Designations

Other Names

• Nic Nielsen