Nicholas Nielsen
Nicholas Nielsen is a CFP-designated registered investment advisor at Raymond James Financial Services Advisors, INC, based in Charlotte, NC, with 19 years of industry experience. Nicholas is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 508,439 clients with $390B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.25% |
Maximum annual fee percentage is 2.25% of assets under advisement. Specific fees are negotiable with your financial advisor based on time, complexity, and portfolio size.
Fee Estimator
Location
3540 Toringdon Way, Ste 200, #330, Charlotte, NC, 28277
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Nicholas provides investment advisory services through Independent Advisor Alliance and its DBA, Know My Plan, dedicating full-time hours to these activities. He also offers life and long-term care solutions through The Cason Group and Highland Capital Brokerage, spending a few hours per week on these insurance-related activities, and is the author of the book Visual Finance, spending minimal time on it.
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
Raymond James Financial Services, INC.Broker
Previous Registrations
LPL Financial LLCBroker
Independent Advisor Alliance, LLC
Suntrust Advisory Services, INC.
Suntrust Investment Services, INC.Broker
Suntrust Investment Services, INC.
PNC InvestmentsBroker
PNC Investments
PNC Investments
PNC InvestmentsBroker
Natcity Investments, INC.
Natcity Investments, INC.Broker
PNC InvestmentsBroker
Fifth Third Securities, INC.Broker
State Registrations26 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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