Robert Daniel Moquin

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

• 06/2009 → 03/2024
  Morgan Stanley Smith Barney
  Hartford, CT
• 01/2015 → 03/2024
  Morgan Stanley Private Bank, National Association
  New York, NY
• 03/2024 → Present
  Rbc Capital Markets, Llc
  Hartford, CT
• 01/2015 → 06/2024
  Morgan Stanley Private Bank, N.A
  New York, NY

Previous Registrations

• 2009-06-01 → 2024-03-27
  Morgan Stanley
  Hartford, CT
• 2005-08-01 → 2009-06-01
  Citigroup Global Markets Inc.
  Hartford, CT
  Hartford, CT

Other Businesses

Estate; Investment related: Yes; Columbia, Pennsylvania; Estate; Executor/Co-Executor; 08/2022; During business hours: 2; After business hours: 3;

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-07-27
• S63 Uniform Securities Agent State Law Examination
  2005-07-21

Designations

• Certified Financial Planner