Dmitry Farbman

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

• 02/2012 → 02/2023
  Ubs Financial Services Inc
  Northbrook, IL
• 02/2023 → Present
  Rbc Capital Markets, Llc
  Buffalo Grove, IL

Previous Registrations

• 2012-02-24 → 2023-01-13
  Ubs Financial Services Inc.
  Northbrook, IL
• 2003-07-01 → 2012-02-27
  Wells Fargo Clearing Services, Llc
  Deerfield, IL
  Deerfield, IL
• 2000-04-20 → 2003-07-01
  Prudential Equity Group, Llc
  Deerfield, IL

Other Businesses

1) Nala Terra Inc/ investment related?: / Northbrook, Illinois, 60062/ Real Estate/ S corp to hold investment/rental property/ Proprietor / owner/ renting and repairs/ start date: 7/16/2021/ time reqd during working hours?: no

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-01-14
• S63 Uniform Securities Agent State Law Examination
  1996-08-29