Cason D Swinn

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

• 07/2007 → 08/2017
  Merrill Lynch, Pierce, Fenner And Smith Incorporated
  Las Vegas, NV
• 08/2017 → Present
  Rbc Capital Markets, Llc
  Las Vegas, NV
• 10/2017 → Present
  City National Bank
  Las Vegas, NV

Previous Registrations

• 2008-01-28 → 2017-09-01
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Las Vegas, NV

Other Businesses

(1) NAME OF ENTITY: VEGAS JANITORIAL SERVICES; ADDRESS OF BUSINESS: PERSONAL RESIDENCE; BUSINESS DESCRIPTION: SOLE PROPRIETORSHIP; NOT INVESTMENT RELATED;START DATE: 01/01/01; capacity: OWNER; DUTIES: GENERAL OVERSIGHT; NUMBER OF HOURS DEVOTED PER MONTH: 20; NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 (2) NAME OF OUTSIDE BUSINESS ORGANIZATION: ZOLO SOLUTIONS INC.; ADDRESS: 2520 SAINT ROSE PKWY, HENDERSON, NEVADA 89074; BUSINESS DESCRIPTION: PRESCRIPTION DRUG REGULATOR; START DATE: 11/19/14; NOT INVESTMENT RELATED; CAPACITY: OWNER; DUTIES: GENERAL OVERSIGHT; NUMBER OF HOURS DEVOTED MONTHLY: NONE; NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 (3) NAME OF ENTITY: STS ENTERPRISE, LLC; ADDRESS: NOT PROVIDED; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: REAL ESTATE HOLDINGS; CAPACITY: OWNER/PASSIVE; START DATE: 02/27/2018; DUTIES: ASSESS THE RENTAL INCOME AND POTENTIAL REAL ESTATE OPPORTUNITIES; HOURS DEVOTED PER MONTH: 01; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 00; (4) NAME OF ENTITY: CLOVER LLC; ADDRESS: 10145 PRATTVILLE AVE LAS VEGAS, NV 89148; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: PERSONAL ASSET PROTECT, NON-OPERATING LLC; CAPACITY: OTHER; START DATE: 01/01/2018; DUTIES: SELECTING INVESTMENTS FOR PERSONAL ASSETS; HOURS DEVOTED PER MONTH: 01; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 01; (5)NAME OF ENTITY: NOT PROVIDED; ADDRESS: 4712 STABLE WAY; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: INVESTMENT PROPERTY; CAPACITY: OWNER/PASSIVE; START DATE: 09/24/2018; DUTIES: ASSET IN PICKING FUTURE INVESTMENT PROPERTIES; HOURS DEVOTED PER MONTH: LESS THAN 01; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 00; (6) NAME OF ENTITY Livengood, LLC ADDRESS Private Residence NOT INVESTMENT RELATED BUSINESS DESCRIPTION Real Estate Holding CAPACITY Owner/Active START DATE 10/08/2019 DUTIES Decide whether or not to sell the property over time. Plan on keeping this property over the long-term HOURS DEVOTED PER MONTH 01HOURS DEVOTED DURING SECURITIES HOURS PER MONTH None (7) NAME OF ENTITY: TS Enterprises ADDRESS: 10161 Park Run Dr Las Vegas NV 89145 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Rental Properties CAPACITY: Owner - Active, Partner START DATE: 6/30/2021 DUTIES: Approving payments for any property cost, approving any rental changes HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams

• S66 Uniform Combined State Law Examination
  2008-01-24

Other Names

• Cason Swinn
• Cason Dale Swinn