KN
Kevin T. Nielsen
RUSSELL INVESTMENTS
SEATTLE, WA 98101
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CRD#: 5548210
KN
Professional summary
Kevin Thomas Carl Nielsen is a registered financial advisor currently at RUSSELL INVESTMENTS located in Seattle, Washington and RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC located in Wayzata, Minnesota.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Kevin has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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 Kevin Thomas Carl Nielsen'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
July 3, 2019 - Present
RUSSELL INVESTMENTS
Office #1: 401 Union Street 18th Floor, Seattle, WA 98101RIA
CRD#: 105734
SEATTLE, WA
Current
July 3, 2019 - Present
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
BD
CRD#: 21771
Wayzata, MN
Past
July 12, 2011 - May 31, 2019
INVESCO ADVISERS, INC.
RIA
CRD#: 105360
Downers Grove, IL
Past
April 20, 2011 - May 31, 2019
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
DOWNERS GROVE, IL
Past
August 22, 2008 - March 31, 2011
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
INDIANAPOLIS, IN
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".
RI
RUSSELL INVESTMENTS
FRANK RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENTS | RUSSELL INVESTMENT MANAGEMENT, LLC | RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENT GROUP
CRD#: 105734 / SEC#: 801-17141
RIA
Registered Investment Advisory firm - (5/21/1982 Approved)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
Alabama(7/3/2019)
RR
Alaska(7/3/2019)
RR
Arizona(7/3/2019)
RR
Arkansas(7/3/2019)
RR
California(7/3/2019)
RR
Colorado(7/3/2019)
RR
Connecticut(7/3/2019)
RR
Delaware(7/3/2019)
RR
District of Columbia(7/3/2019)
RR
Florida(7/3/2019)
RR
Georgia(7/3/2019)
RR
Hawaii(7/3/2019)
RR
Idaho(7/3/2019)
RR
Illinois(7/3/2019)
IAR
Illinois(7/3/2019)
RR
Indiana(7/3/2019)
RR
Iowa(7/3/2019)
RR
Kansas(7/3/2019)
RR
Kentucky(7/3/2019)
RR
Louisiana(7/3/2019)
RR
Maine(7/3/2019)
RR
Maryland(7/3/2019)
RR
Massachusetts(7/3/2019)
RR
Michigan(7/3/2019)
RR
Minnesota(7/3/2019)
RR
Mississippi(7/3/2019)
RR
Missouri(7/3/2019)
RR
Montana(7/3/2019)
RR
Nebraska(7/3/2019)
RR
Nevada(7/3/2019)
RR
New Hampshire(7/3/2019)
RR
New Jersey(7/3/2019)
RR
New Mexico(7/3/2019)
RR
New York(7/3/2019)
RR
North Carolina(7/3/2019)
RR
North Dakota(7/3/2019)
RR
Ohio(7/5/2019)
RR
Oklahoma(7/3/2019)
RR
Oregon(7/3/2019)
RR
Pennsylvania(7/3/2019)
RR
Puerto Rico(7/3/2019)
RR
Rhode Island(7/3/2019)
RR
South Carolina(7/3/2019)
RR
South Dakota(7/3/2019)
RR
Tennessee(7/3/2019)
RR
Texas(7/3/2019)
RR
Utah(7/3/2019)
RR
Vermont(7/3/2019)
RR
Virgin Islands(7/3/2019)
RR
Virginia(7/3/2019)
RR
Washington(7/3/2019)
IAR
Washington(7/3/2019)
RR
West Virginia(7/3/2019)
RR
Wisconsin(7/3/2019)
RR
Wyoming(7/3/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RI
RUSSELL INVESTMENTS
FRANK RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENTS | RUSSELL INVESTMENT MANAGEMENT, LLC | RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENT GROUP
CRD#: 105734 / SEC#: 801-17141
RIA
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Contact information
Main Address
1301 Second Avenue 18th Floor, Seattle, WA 98101
Mailing Address
Phone number
(206) 505-7877
Established
Firm type
Fiscal year end
# of Employees
589
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 69,312 |
| AUM (Assets Under Management) | $ 62,376,876,918 |
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.
