James Nielsen is a registered investment advisor at RBC Capital Markets, LLC, based in San Jose, CA, with 45 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Estate Planning, Investment Management, Retirement Planning. Their firm serves 283,910 clients with $310B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
RBC Financial Planning services are offered for a one-time fee, providing a personalized analysis and written advice to help you assess your financial situation and your ability to pursue specific financial goals. Fees are negotiated within a range of $1,000 to $20,000, but in certain cases a fee higher than $20,000 may be negotiated.
Location
99 Almaden Boulevard, Suite 300, San Jose, CA, 95113-1603
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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.
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James serves on the Board of Directors for Waterfowl Environment Protection Organization (WEPO), a nonprofit focused on wetland habitat maintenance. He dedicates minimal time to this role, which is not investment-related.
Employment History
Current Registrations
RBC Capital Markets, LLC
RBC Capital Markets, LLC
RBC Capital Markets, LLCBroker
Previous Registrations
Morgan Stanley Smith BarneyBroker
Morgan Stanley Smith Barney LLC
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
Wachovia Securities, LLC
Wachovia Securities, LLCBroker
Prudential Securities IncorporatedBroker
Prudential Securities Incorporated
Painewebber IncorporatedBroker
Sutro & CO. IncorporatedBroker
Dean Witter Reynolds INC.Broker
State Registrations15 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.