Joseph Dinaso

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

• 01/2016 → 06/2019
  Prudential Investment Management Services Llc
  Newark, NJ
• 01/2016 → 06/2019
  The Prudential Insurance Company Of America
  Newark, NJ
• 06/2019 → 02/2020
  Dunham & Associates Investment Counsel, Inc.
  San Diego, CA
• 03/2020 → 04/2021
  Dunham & Associates Investment Counsel, Inc.
  San Diego, CA
• 04/2021 → 06/2023
  Wells Fargo Funds Distributor, Llc
  Boston, MA
• 06/2023 → 05/2026
  Nationwide Investment Services Corporation
  Columbus, OH
• 05/2026 → Present
  Rbc Capital Markets, Llc
  Boston, MA

Previous Registrations

• 2023-06-13 → 2026-05-12
  Nationwide Investment Advisors, Llc
  Columbus, OH
• 2021-05-04 → 2023-06-02
  Allspring Funds Management, Llc
  Boston, MA
• 2019-09-27 → 2021-04-26
  Dunham
  San Diego, CA
  San Diego, CA
  San Diego, CA
  Chicago, IL

Exams

• S65 Uniform Investment Adviser Law Examination
  2019-09-21
• S63 Uniform Securities Agent State Law Examination
  2015-03-04

Other Names

• Joseph Michael Dinaso