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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

DOUGLAS ANDREW NELSON

Advisor at RBC CAPITAL MARKETS, LLC

RYE BEACH, NH | PORTSMOUTH, NH

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Search this name across graphsid dfx:ria:b65262fd-aee2-4f8c-93db-a2d30d53ffde

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Feb 8, 2001 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RBC CAPITAL MARKETS, LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 12, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Dec 12, 2000
First registration: Feb 8, 2001
Dual registered: yes, broker-dealer
Other names: DOUGLAS ANDREW NELSON|Douglas A Nelson
IAPD individual key: 4280481

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RBC CAPITAL MARKETS, LLC	National bd RIA	Jul 2, 2026	n/a	yes	PORTSMOUTH, NH\|RYE BEACH, NH	Current employment
SUNPOINTE INVESTMENTS	Independent wealth	Jun 18, 2021	Jul 1, 2026	no	ST. LOUIS, MO\|Portsmouth, NH	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 13, 2012	Jun 24, 2021	no	PORTSMOUTH, NH	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jan 30, 2012	no	PORTSMOUTH, NH	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	PORTSMOUTH, NH	Previous registration
MORGAN STANLEY DW INC.	n/a	Apr 29, 2005	Apr 2, 2007	no	PORTSMOUTH, NH\|PORTSMOUTH, NH	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 8, 2001	May 2, 2005	no	PORTSMOUTH, NH	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SUNPOINTE INVESTMENTS	RBC CAPITAL MARKETS, LLC	Jul 1, 2026	Jul 2, 2026	1	Firm change	RIA to ibd
WELLS FARGO ADVISORS	SUNPOINTE INVESTMENTS	Jun 24, 2021	Jun 18, 2021	-6	Firm change	Wirehouse to RIA
MORGAN STANLEY	WELLS FARGO ADVISORS	Jan 30, 2012	Jan 13, 2012	-17	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY DW INC.	May 2, 2005	Apr 29, 2005	-3	Firm change	Other

Relationships

Registered with (7)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: current employment
Jul 2, 2026 to presentfactForm ADV
→ SUNPOINTE INVESTMENTSRegistered adviserregistration: previous registration
Jun 18, 2021 to Jul 1, 2026factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 13, 2012 to Jun 24, 2021factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jan 30, 2012factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Apr 29, 2005 to Apr 2, 2007factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Feb 8, 2001 to May 2, 2005factForm ADV

Dated events

Occurred
Jul 1, 2026
Advisor changed firm
Douglas Andrew Nelson left Sunpointe Investments for Rbc Capital Markets, Llc (registered 2026-07-02)
Form ADVobserved 5 days ago