Matthew Paul Shannon

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
TX	RA	APPROVED_RES	2017-03-31
ME	RA	APPROVED	2005-02-25

TX RA
APPROVED_RES

Since 2017-03-31
ME RA
APPROVED

Since 2005-02-25

Branch Locations

23 Water Street Suite 303, Bangor, ME 04401-6373 • United States

Orono, ME • 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	Bangor	ME	03/2008	Present

03/2008 → Present

Rbc Capital Markets Corporation

Bangor, ME

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2000-05-27

S66 Uniform Combined State Law Examination

2000-05-27

View on SEC IAPD

Employer firm

Current Employers

Rbc Capital Markets, Llc

Disclosures

Employment History

Exams

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