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Dominic Nicholas Zmarlicki

Rbc Capital Markets, LLC

Burlington, CT

Farmington, CT

CRD 7428114

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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

AuthorityCategoryStatusDate
TX RA APPROVED 2023-09-07
CT RA APPROVED 2023-08-28
  • TX RA
    APPROVED
    Since 2023-09-07
  • CT RA
    APPROVED
    Since 2023-08-28

Branch Locations

Burlington, CT • United States

30 Batterson Park Road Suite 350, Farmington, CT 06032 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Rbc Capital Markets, Llc Farmington CT 09/2022 Present
Wells Fargo Advisors Farmington CT 08/2021 09/2022
Webster Bank Southington CT 11/2019 08/2021
Wagner College Staten Island NY 10/2015 05/2019
Supreme Lake Manufacturing Plantsville CT 07/2015 10/2019
Wagner College Staten Island NY 08/2015 05/2019
  • 09/2022 → Present
    Rbc Capital Markets, Llc
    Farmington, CT
  • 08/2021 → 09/2022
    Wells Fargo Advisors
    Farmington, CT
  • 11/2019 → 08/2021
    Webster Bank
    Southington, CT
  • 10/2015 → 05/2019
    Wagner College
    Staten Island, NY
  • 07/2015 → 10/2019
    Supreme Lake Manufacturing
    Plantsville, CT
  • 08/2015 → 05/2019
    Wagner College
    Staten Island, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-08-28
  • S66 Uniform Combined State Law Examination
    2023-08-28

View on SEC IAPD

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