ND
Nicholas Durso
RBC CAPITAL MARKETS
Vienna, VA 22182
Some features on this profile are disabled
CRD#: 5463633
ND
Professional summary
Nicholas Durso, who also goes by Nicholas Carl Durso, Nick C Durso, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Vienna, Virginia.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Nicholas has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicholas Carl Durso | Nick C Durso
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.
1) RESTON RAIDERS HOCKEY CLUB POSITION: Board member/LTP Director NATURE: Non-profit Youth Hockey Club INVESTMENT RELATED: No NUMBER OF HOURS: 45 SECURITIES TRADING HOURS: 0 START DATE: 06/07/2021 ADDRESS: , Reston VA , United States DESCRIPTION: Fiduciary oversight of the Hockey Club.Direct oversight and management of "Learn to Play Program" 2) Name of Entity: Reston Raiders Hockey Club Non-Investment related Address of entity: PO Box 3152 Reston VA 20195 Nature of OBA: Non profit youth hockey club Position/Title/Relationship: Board of Directors * Start Date: 06/01/21 Time devoted: 4 hours; 0 during securities trading hours Duties: Learn To Play Director and Head Coach.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Durso's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Durso'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
March 21, 2023 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 8010 Towers Crescent Drive 4th Floor, Vienna, VA 22182RIA
BD
CRD#: 31194
Vienna, VA
Current
March 21, 2023 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 8010 Towers Crescent Drive 4th Floor, Vienna, VA 22182RIA
BD
CRD#: 31194
Vienna, VA
Past
September 19, 2016 - March 27, 2023
TRUIST ADVISORY SERVICES, INC.
RIA
CRD#: 283390
OAKTON, VA
Past
March 15, 2016 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
MCLEAN, VA
Past
February 24, 2016 - March 14, 2016
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
MCLEAN, VA
Past
February 24, 2016 - March 27, 2023
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
MCLEAN, VA
Past
September 24, 2014 - March 18, 2016
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
WASHINGTON, DC
Past
September 17, 2014 - March 18, 2016
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
WASHINGTON, DC
Past
March 25, 2013 - August 27, 2014
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
PITTSBURGH, PA
Past
January 4, 2013 - August 27, 2014
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
PITTSBURGH, PA
Past
February 4, 2011 - December 19, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SPRINGFIELD, VA
Past
February 4, 2011 - December 19, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SPRINGFIELD, VA
Past
July 22, 2010 - January 3, 2011
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
VIENNA, VA
Past
July 22, 2010 - January 3, 2011
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
VIENNA, VA
Past
April 26, 2010 - July 6, 2010
BB&T INVESTMENT SERVICES, INC.
RIA
CRD#: 33856
FAIRFAX, VA
Past
January 21, 2010 - July 6, 2010
BB&T INVESTMENT SERVICES, INC.
BD
CRD#: 33856
FAIRFAX, VA
Past
May 27, 2008 - January 12, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
CONCORD, NH
Past
January 11, 2008 - May 27, 2008
IFMG SECURITIES, INC.
BD
CRD#: 14416
CONCORD, NH
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
Arizona(2/14/2025)
RR
California(10/21/2024)
RR
Colorado(3/21/2023)
RR
Connecticut(10/21/2024)
RR
Delaware(3/21/2023)
RR
District of Columbia(3/21/2023)
RR
Florida(3/21/2023)
RR
Georgia(2/14/2025)
RR
Illinois(10/21/2024)
RR
Indiana(10/21/2024)
RR
Iowa(10/21/2024)
RR
Kentucky(10/21/2024)
RR
Maine(3/21/2023)
RR
Maryland(3/21/2023)
RR
Massachusetts(10/21/2024)
RR
Minnesota(2/14/2025)
RR
Nevada(10/21/2024)
RR
New Hampshire(3/21/2023)
RR
New Jersey(3/21/2023)
RR
New York(3/21/2023)
RR
North Carolina(3/21/2023)
RR
Ohio(3/21/2023)
RR
Oregon(2/14/2025)
RR
Pennsylvania(3/21/2023)
RR
South Carolina(3/21/2023)
RR
Tennessee(10/21/2024)
RR
Texas(3/21/2023)
IAR
Texas(3/23/2023)
RR
Utah(10/21/2024)
RR
Vermont(2/14/2025)
RR
Virginia(3/21/2023)
IAR
Virginia(3/21/2023)
RR
Washington(3/21/2023)
RR
West Virginia(2/14/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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)
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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
8,476
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 | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| 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.
