Christopher J Dorsi

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

• 01/2009 → Present
  Rbc Capital Markets, Llc
  Florham Park, NJ
• 10/2017 → Present
  City National Bank
  Florham Park, NJ

Previous Registrations

• 2003-07-01 → 2004-03-24
  Wells Fargo Clearing Services, Llc
  New York, NY
• 2002-07-25 → 2003-07-01
  Prudential Equity Group, Llc
  New York, NY

Other Businesses

NAME OF ENTITY: D&D RE Ponce de Leon, LLC ADDRESS: Joseph DeStephan 2709 Spruce Ave West Palm Beach, FL 33407 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: 5 unit apartment building located in West Palm Beach Florida CAPACITY: Owner - Passive START DATE: 11/15/22 DUTIES: Recieving monthly updates, property manager will deal with tenant issues. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-03-31
• S63 Uniform Securities Agent State Law Examination
  1998-03-13

Other Names

• Christopher James Dorsi