Thomas Anthony Keiser

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 → 04/2019
  Ubs Financial Services Inc
  Pittsburgh, PA
• 04/2019 → Present
  Rbc Capital Markets, Llc.
  Pittsburgh, PA
• 11/2019 → Present
  City National Bank
  Sewickley, PA

Previous Registrations

• 2012-09-05 → 2019-05-03
  Ubs Financial Services Inc.
  Pittsburgh, PA
• 1996-02-20 → 2006-02-24
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Pittsburgh, PA
  Pittsburgh, PA

Other Businesses

(1) NAME OF ENTITY: LITTLE BEAVER HISTORICAL SOCIETY; ADDRESS: DARLINGTON, PA; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: NON-PROFIT HISTORICAL SOCIETY; CAPACITY: DIRECTOR; START DATE: 01/2019; DUTIES: OVERSEE THE LITTLE BEAVER HISTORICAL SOCIETY; HOURS DEVOTED PER MONTH: 2; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0; (2) NAME OF ENTITY: Misingwa Land Trust; ADDRESS: NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Non-profit land trust; CAPACITY: Officer; START DATE: 12/2019; DUTIES: Planning, Administration. I will control spending and investments and will exercise trading authority for the account; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1;

Exams

• S65 Uniform Investment Adviser Law Examination
  1992-01-06
• S63 Uniform Securities Agent State Law Examination
  1989-01-12

Other Names

• Tony Keiser