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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2015-02-05
NE RA APPROVED 2009-11-25
  • TX RA
    APPROVED_RES
    Since 2015-02-05
  • NE RA
    APPROVED
    Since 2009-11-25

Branch Locations

8800 Firethorn Lane Suite 200, Lincoln, NE 68520 • United States

Lincoln, NE • 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
OrganizationCityStateFromTo
Rbc Capital Markets, Llc Lincoln NE 11/2009 Present
City National Bank Lincoln NE 12/2017 Present
Previous Registrations
  • 2008-01-01 → 2009-11-23
    Lincoln, NE
  • 2007-09-27 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Lincoln, NE
    St. Louis, MO
  • 2003-07-23 → 2007-08-28
    Securities America Advisors, Inc.
    Omaha, NE
    La Vista, NE
Other Businesses

(1) NEBRASKA STATE PAR ASSOCIATION HOUSE OF DELEGATES INVESTMENT COMMITTEE; NSBA, 635 SOUTH 14TH STREET, STE 200, LINCOLN, NE 685608; START DATE: 5/11/2015; COMMITTEE/COUNCIL MEMBER; AS A MEMBER OF THE IC I WILL ADD MY OPINION TO THE RECOMMENDATIONS MADE BY THE IC TO THE BUDGET AND PLANNING COMMITTEE; HOURS P/M: 2; HOURS DURING TRADING: 2 (2) FINRA CONTINUING EDUCATION COMMITTEE; ADDRESS: 20 BROAD ST. 25TH FLOOR NEW YORK, NY 10005; DESCRIPTION: REGULATORY AGENCY; NOT INVESTMENT RELATED; START DATE: 11/15/2011 CAPACITY: COMMITTEE/COUNCIL MEMBER; DUTIES: ASSIST FINRA IN VETTING THE MATERIALS USED TO PROVIDE THE INDUSTRY WITH REGULATORY ELEMENT CE; HOURS DEVOTED P/M: 5; HOURS DEVOTED DURING SECURITIES HOURS P/M: NONE (3) OPEN SKY POLICY INSTITUTE; ADDRESS: 1201 "0" ST., SUITE 10, LINCOLN NE 68508; DESCRIPTION: INDEPENDENT RESEARCH OF STATE FISCAL POLICY; NOT INVESTMENT RELATED; START DATE: 01/01/2017; CAPACITY: BOARD OF DIRECTORS, OTHER - PRESIDENT ELECT OF THE BOARD, WILL TAKE OFFICE AS PRESIDENT IN 2017; DUTIES: RUNNING QUARTERLY BOARD MEETINGS, AD HOC BOARD ACTIONS; HOURS DEVOTED P/M: 04; HOURS DEVOTED DURING SECURITIES HOURS P/M: 04 (4) Name: Lincoln Electric System Adminsitrative Board Description: LES is the public utility that provides electricity on a public power basis to Lincoln NE residents. Investment-related: (yes or no) Address: LES, 1040 O St., Lincoln NE 68508 Capacity:Board of Directors Start Date: 07/30/19 Duties: Please see the attached disclosure documents. The Board has general oversight of the property, personnel, facilities, equipment and finances of LES. Hours devoted P/M: .5 Hours devoted during securities hours P/M: .5 (5) Name - Lincoln Electric System Administrative Board Finance and Audit Committee Address - 1040 East O St. Lincoln, NE 68508 Description - LES is a public power utility serving Lincoln and its surrounding area. Investment-related: no Projected Start Date: 08/16/2019 Capacity: Board of Directors Duties Performed: Members of the Audit and Finance Committee provide oversight and advice with respect to the activities of LES. The A&F Committee reports to the LES Administrative Board. Hours Devoted P/M: 1 Hours Devoted during business hours P/M: 1 (6) NAME: West Point Parents Club - Nebraska and Western Iowa ADDRESS: 5089 S. 175th Circle, Omaha NE 68135 Investment-related: No DESCRIPTION: WPPC-NE&WIA is a 501(c)-3 corp. dedicated to the principles and welfare of USMA cadets. CAPACITY: Officer, Board of Directors * START DATE: 05/04/22 DUTIES: As Co-President I will preside at the 4 quarterly club meetings and work with members of the board and the other officers to support the cadets and their families while the cadets attend USMA-West Point. HOURS DEVOTED P/M: 0.5 HOURS DEVOTED DURING SECURITIES HOURS P/M: 0.5 (7) Name: Spinman Properties LLC Non-investment related Address of Entity: 9611 Hollow Tree Dr., Lincoln, NE 68512 Nature: LLC established for the purpose of real estate investment. Position: Owner - Active Start date: 07/21/14 Time devoted: 0.001 hrs P/M: 0.0005 hrs during securities trading hours Duties: As manager of the LLC I have primary responsibility for operation and administration of the LLC. 8) Name: Nonprofit Association of the Midlands ADDRESS: 1111 North 13ths St., Ste213, Omaha, NE 68102 Investment-related: No DESCRIPTION: Foundation/Charitable Institution START DATE: 11.26.24 CAPACITY: Committee Member DUTIES: I have been asked to serve as a member of the Non-Profit Association of the Midland's Retirement Plan Committee. HOURS DEVOTED P/M: 1 DURING SECURITIES HOURS P/M: 0 (9) Name: Lincoln Community Foundation, Inc. Address: 215 Centennial Mall South Suite 100 Lincoln NE 68508 Investment-related: No Business Description: Foundation/Charitable Institution Start Date: Jan 01, 2026 Capacity: Director Duties: Board of Directors Member - please see the attached statement of duties. Hours Devoted P/M: 0 - 4 Hours During Securities Hours P/M: 0 - 4

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1997-02-11
  • S66 Uniform Combined State Law Examination
    1997-02-11
Other Names
  • David Octavio De La Fuente

View on SEC IAPD

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