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RN

Richard G. Nelson

NORTH CAPITAL
Salt Lake City, UT 84047
Some features on this profile are disabled
CRD#: 6510728
RN

Professional summary

Richard Grant Nelson, who also goes by Grant Nelson, is a registered financial advisor currently at NORTH CAPITAL located in Salt Lake City, Utah and NORTH CAPITAL PRIVATE SECURITIES CORPORATION located in Salt Lake City, Utah.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Richard has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Grant Nelson

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Grant Nelson's CRS (Customer Relationship Summary).
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®
None

Experience

Current

January 28, 2021 - Present

NORTH CAPITAL

Office #1: 623 E Fort Union Blvd. Suite 101, Salt Lake City, UT 84047
RIA
CRD#: 148802
Salt Lake City, UT
Current

August 24, 2015 - Present

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

Office #1: 623 E Ft Union Blvd Suite 101, Salt Lake City, UT 84047
BD
CRD#: 154559
Salt Lake City, UT
Past

May 28, 2019 - December 31, 2020

NORTH CAPITAL

RIA
CRD#: 148802
SALT LAKE CITY, UT

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".
NC
NORTH CAPITAL
COMPASS FAMILY OFFICES | NORTH CAPITAL, INC. | NORTH CAPITAL INVESTMENT MANAGEMENT | NORTH CAPITAL | EVISOR | COMPASS INVESTMENTS

CRD#: 148802 / SEC#: 801-110598

RIA
Registered Investment Advisory firm - (5/17/2017 Approved)
California
Registered Investment Advisory firm - (7/2/2017 Terminated)
Utah
Registered Investment Advisory firm - (6/2/2017 Terminated)

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
Nevada
(11/7/2025)
RR
Utah
(10/15/2015)
IAR
Utah
(1/28/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/24/2019
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/15/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/23/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/30/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NC
NORTH CAPITAL
COMPASS FAMILY OFFICES | NORTH CAPITAL, INC. | NORTH CAPITAL INVESTMENT MANAGEMENT | NORTH CAPITAL | EVISOR | COMPASS INVESTMENTS

CRD#: 148802 / SEC#: 801-110598

RIA
Registered Investment Advisory firm - (5/17/2017 Approved)
California
Registered Investment Advisory firm - (7/2/2017 Terminated)
Utah
Registered Investment Advisory firm - (6/2/2017 Terminated)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
623 E Fort Union Blvd. Suite 101, Salt Lake City, UT 84047
Mailing Address
Phone number
888-625-7768 X1
Established
Firm type
Fiscal year end
# of Employees
12

SEC notice filing (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (6/27/2025)

Regulatory assets under management

Total Number of Accounts642
AUM (Assets Under Management)$ 292,582,491

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.

Company Information

NORTH CAPITAL

CRD#: 148802Salt Lake City, UT 84047

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