Michael Henry Martin

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

• 10/2003 → 10/2018
  Ubs Financial Services, Inc.
  Oakbrook Terrace, IL
• 10/2018 → Present
  Rbc Capital Markets, Llc.
  Oakbrook, IL
• 01/2020 → 01/2025
  City National Bank
  Oakbrook Terrace, IL

Previous Registrations

• 2003-10-17 → 2018-11-07
  Ubs Financial Services Inc.
  Oakbrook Terrace, IL
  Oakbrook Terrace, IL
• 2002-08-12 → 2003-10-21
  Morgan Stanley Dw Inc.
  Rolling Meadows, IL

Other Businesses

(1) BE BRAVE BUDDIES; ADDRESS: 1316 BISCAYA DRIVE, SURFSIDE, FL 33154; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: DISTRIBUTES DOLLS AND CARDS TO CHILDREN SUFFERING FROM CANCER; CAPACITY: BOARD OF DIRECTORS; START DATE: 11/1/2016; DUTIES: ADVICE REGARDING GOVERNANCE AND OTHER OPERATIONS; HOURS DEVOTED PER MONTH: 2; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. (2) DAN GIBBONS FOUNDATION; ADDRESS: 521 EAST CHURCH STREET, ELMHURST, IL 60126; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: SERVES TO FEED THE HUNGRY IN DUPAGE COUNTY ILLINOIS; CAPACITY: BOARD OF DIRECTORS; START DATE: 9/1/1994; DUTIES: BOARD MEMBER-GENERAL ADVICE AND CONSENT; HOURS DEVOTED PER MONTH: 0; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0.

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-07-17
• S63 Uniform Securities Agent State Law Examination
  1989-09-06