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

NICHOLAS GREENE DENICKE

Advisor at RBC CAPITAL MARKETS, LLC

San Franciso, CA | NEW YORK, NY

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Search this name across graphsid dfx:ria:e05d9f15-d511-7614-42d1-dc405ad8bdca

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 15, 2010 to Sep 14, 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: Nov 22, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Nov 22, 2000
First registration: Nov 15, 2010
Dual registered: yes, broker-dealer
Other names: NICK GREENE DENICKE
IAPD individual key: 4135071

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 9, 2018	n/a	yes	NEW YORK, NY\|San Franciso, CA	Current employment
BOK FINANCIAL ADVISORS	Bd affiliated wealth	Sep 2, 2014	Jun 1, 2017	no	IRVINE, CA\|NEWPORT BEACH, CA	Previous registration
STERNE AGEE ASSET MANAGEMENT, INC.	Former SEC adviser	Aug 13, 2013	Aug 25, 2014	no	SAN FRANCISCO, CA	Previous registration
PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Apr 4, 2012	Aug 2, 2013	no	SAN FRANCISCO, CA	Previous registration
FIDUCIARY ASSET MANAGEMENT LLC	Former SEC adviser	Nov 15, 2010	Apr 5, 2012	no	CLAYTON, MO	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
BOK FINANCIAL ADVISORS	RBC CAPITAL MARKETS, LLC	Jun 1, 2017	Jul 9, 2018	403	Firm change after gap	Other
STERNE AGEE ASSET MANAGEMENT, INC.	BOK FINANCIAL ADVISORS	Aug 25, 2014	Sep 2, 2014	8	Firm change	Other
PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC	STERNE AGEE ASSET MANAGEMENT, INC.	Aug 2, 2013	Aug 13, 2013	11	Firm change	Other
FIDUCIARY ASSET MANAGEMENT LLC	PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC	Apr 5, 2012	Apr 4, 2012	-1	Firm change	Other

Relationships

Registered with (5)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: current employment
Jul 9, 2018 to presentfactForm ADV
→ BOK FINANCIAL ADVISORSRegistered adviserregistration: previous registration
Sep 2, 2014 to Jun 1, 2017factForm ADV
→ STERNE AGEE ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Aug 13, 2013 to Aug 25, 2014factForm ADV
→ PIPER JAFFRAY INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Apr 4, 2012 to Aug 2, 2013factForm ADV
→ FIDUCIARY ASSET MANAGEMENT LLCRegistered adviserregistration: previous registration
Nov 15, 2010 to Apr 5, 2012factForm ADV

Dated events

No dated event names this entity yet.