NL
Nelson E. Link
RBC CAPITAL MARKETS
Roanoke, VA 24011
Some features on this profile are disabled
CRD#: 1763815
NL
Professional summary
Nelson Edward Link JR, who also goes by Eddie Link Jr, Nelson E Link Jr, Nelson Edward Link . Jr, Nelson Edward Link Jr Jr, Nelson E Link Jr. Jr, Nelson Edward E Link Jr. Jr, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Roanoke, Virginia.
Nelson is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Nelson has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Eddie Link Jr | Nelson E Link Jr | Nelson Edward Link . Jr | Nelson Edward Link Jr Jr | Nelson E Link Jr. Jr | Nelson Edward E Link Jr. Jr
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Nelson Edward Link JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nelson Edward Link JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 3, 2021 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 110 Franklin Road Se Suite 400, Roanoke, VA 24011RIA
BD
CRD#: 31194
Roanoke, VA
Current
May 3, 2021 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 110 Franklin Road Se Suite 400, Roanoke, VA 24011RIA
BD
CRD#: 31194
Roanoke, VA
Past
February 28, 2012 - May 13, 2021
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
ROANOKE, VA
Past
February 27, 2012 - May 13, 2021
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
ROANOKE, VA
Past
June 1, 2009 - March 5, 2012
MORGAN STANLEY
RIA
CRD#: 149777
ROANOKE, VA
Past
June 1, 2009 - March 5, 2012
MORGAN STANLEY
BD
CRD#: 149777
ROANOKE, VA
Past
November 13, 2000 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
ROANOKE, VA
Past
October 23, 2000 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
ROANOKE, VA
Past
July 7, 1995 - October 31, 2000
WACHOVIA SECURITIES, INC.
BD
CRD#: 431
CHARLOTTE, NC
Past
November 1, 1993 - July 7, 1995
CRESTAR SECURITIES CORPORATION
BD
CRD#: 17464
RICHMOND, VA
Past
May 28, 1993 - June 10, 1994
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
Past
May 18, 1990 - May 28, 1993
DOMINION INVESTMENT BANKING, INC.
BD
CRD#: 17523
Past
July 24, 1989 - May 14, 1990
DAVENPORT & COMPANY LLC
BD
CRD#: 1588
RICHMOND, VA
Past
January 19, 1988 - June 29, 1989
ROBERT THOMAS SECURITIES, INC
BD
CRD#: 10147
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(5/3/2021)
RR
Colorado(5/3/2021)
RR
Connecticut(5/4/2021)
RR
Delaware(5/3/2021)
RR
Florida(5/3/2021)
RR
Georgia(5/4/2021)
RR
Hawaii(11/13/2024)
RR
Illinois(11/17/2021)
RR
Indiana(5/3/2021)
RR
Iowa(3/20/2025)
RR
Kentucky(5/3/2021)
RR
Maryland(5/3/2021)
RR
Massachusetts(5/26/2021)
RR
Missouri(5/3/2021)
RR
Nevada(5/3/2021)
RR
New Hampshire(3/7/2022)
RR
New York(5/3/2021)
RR
North Carolina(5/3/2021)
RR
Ohio(5/3/2021)
RR
Pennsylvania(5/3/2021)
RR
South Carolina(5/3/2021)
IAR
South Carolina(2/10/2026)
RR
Tennessee(5/3/2021)
RR
Texas(5/3/2021)
IAR
Texas(5/3/2021)
RR
Utah(3/2/2026)
RR
Vermont(5/3/2021)
RR
Virginia(5/3/2021)
IAR
Virginia(5/3/2021)
RR
West Virginia(5/4/2021)
RR
Wisconsin(5/3/2021)
RR
Wyoming(3/10/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,781
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 511,871 |
| AUM (Assets Under Management) | $ 310,428,968,904 |
Disclosures
| Regulatory Event | 367 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
