David Allen Poulin

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

• 03/2008 → 11/2017
  Citigroup Global Markets Inc
  Waltham, MA
• 06/2009 → 11/2017
  Morgan Stanley Smith Barney
  Waltham, MA
• 01/2015 → 11/2017
  Morgan Stanley Private Bank, National Association
  New York, NY
• 11/2017 → Present
  Rbc Capital Markets, Llc
  Boston, MA
• 11/2017 → Present
  City National Bank
  Boston, MA

Previous Registrations

• 2002-09-05 → 2008-03-26
  J.P. Morgan Securities Llc
  Boston, MA
  Boston, MA

Other Businesses

(1) PLYMOUTH STATE UNIVERSITY - PRESIDENTS COUNCIL; ADDRESS: 17 HIGH STREET, PLYMOUTH, NH 03264; BUSINESS DESCRIPTION: PUBLIC UNIVERSITY; NOT INVESTMENT RELATED; START DATE: 11/09/2017; CAPACITY: PRESIDENTS COUNCIL; DUTIES: FUNDRAISING; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: <1; (2) EXIT PLANNING EXCHANGE; ADDRESS: PO BOX 385, WINCHESTER, MA 01890; BUSINESS DESCRIPTION: NOT FOR PROFIT; NOT INVESTMENT RELATED; START DATE: 11/09/2017; CAPACITY: BOARD OF DIRECTORS; DUTIES: ADVISE; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: <1. (3) BOCH CENTER; ADDRESS: 270 TREMONT STREET, BOSTON, MA 02116; NOT INVESTMENT RELATED: BUSINESS DESCRIPTION: NON-PROFIT PERFORMING ARTS CENTER; CAPACITY: BOARD OF DIRECTORS; START DATE: 9/10/2018; DUTIES: VOLUNTEER - GOVERNANCE COMMITTEE; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1. 4) NAME OF ENTITY: DAP 1962 Reality LLC ADDRESS: 242 Sangerville Line Road Dover-Foxcroft, ME 04426 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Personal Land Purchase START DATE: 08.10.23 CAPACITY: Sole Proprietor DUTIES: As owner of LLC I will be responsible for upkeep and land management HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (5) NAME OF ENTITY: Foxcroft Academy ADDRESS: 975 West Main Street Dover-Foxcroft ME 04426 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Prep High School START DATE: 01.01.24 CAPACITY: Other DUTIES: Advisement of non-financial school related issues HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 6) NAME OF ENTITY: Panther Gridiron Club ADDRESS: 27 Chaddarin Lane, Plymouth, NH 03264 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: 09.06.24 CAPACITY: Officer and Treasurer. As Treasurer I will be depositing and writing checks. DUTIES: Board member and Treasurer of this new start up non-profit that benefits Plymouth State University Football Program. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-01-25
• S63 Uniform Securities Agent State Law Examination
  1990-01-11

Other Names

• David Allen Poulin