James Dean Augustine

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:

Current Employers

Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-11-30
SD	RA	APPROVED	2017-01-19
TX	RA	APPROVED_RES	2017-01-06
IA	RA	APPROVED	2011-10-21

NY RA
APPROVED

Since 2021-11-30
SD RA
APPROVED

Since 2017-01-19
TX RA
APPROVED_RES

Since 2017-01-06
IA RA
APPROVED

Since 2011-10-21

Branch Locations

200 Gold Circle Suite 100, Dakota Dunes, SD 57049 • United States

Sioux City, IA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Rbc Capital Markets Corporation	Sioux City	IA	03/2008	Present

03/2008 → Present

Rbc Capital Markets Corporation

Sioux City, IA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2011-10-20
S63	Uniform Securities Agent State Law Examination	1989-11-30

S66 Uniform Combined State Law Examination

2011-10-20
S63 Uniform Securities Agent State Law Examination

1989-11-30

Other Names

Jim Augustine

View on SEC IAPD