Randall Robert Rubens

Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2009 → Present
  Rbc Capital Markets, Llc
  Sturgeon, WI

Previous Registrations

• 2008-01-01 → 2009-04-06
  Wells Fargo Clearing Services, Llc
  Sturgeon Bay, WI

Other Businesses

(1) ST. JOSEPH'S EDUCATIONAL ENDOWMENT TRUST; ADDRESS: 526 LOUISIANA ST STURGEON BAY, WI 54235; BUSINESS DESCRIPTION: CHURCH; NOT INVESTMENT RELATED; START DATE: 11/14/2011; CAPACITY: INDEPENDENT CONTRACTOR/CONSULTANT; DUTIES: PROVIDE INVESTMENT REVIEWS/SUMMARIES FOR ADVISORY COMMITTEE AND ANSWER INVESTMENT QUESTIONS/CONCERNS; HOURS DEVOTED PER WEEK: .25; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (2) NAME OF ENTITY: St. John Bosco Catholic School ADDRESS: 730 Q. Maple St., Sturgeon Bay, WI 54235 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Educational Institution START DATE: Jul 01, 2025 CAPACITY: Board of Directors DUTIES: Serve on the School Board with no check writing authority. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours

Exams

• S66 Uniform Combined State Law Examination
  2009-12-22
• S63 Uniform Securities Agent State Law Examination
  1988-11-18