Davis B Monaghan

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
MN	RA	APPROVED	2021-11-03

MN RA
APPROVED

Since 2021-11-03

Branch Locations

200 Vesey St., New York, NY 10281 • 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 No
Termination Yes

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Minneapolis	MN	07/2015	10/2021
Rbc Capital Markets, Llc	Minneapolis	MN	11/2021	Present

07/2015 → 10/2021

Ameriprise Financial Services, Inc.

Minneapolis, MN
11/2021 → Present

Rbc Capital Markets, Llc

Minneapolis, MN

Previous Registrations

2015-10-09 → 2021-11-03

Ameriprise Financial Services, Llc

Minneapolis, MN

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-10-09

S66 Uniform Combined State Law Examination

2015-10-09

View on SEC IAPD