Robert Elton Maxwell

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

• 03/2008 → Present
  Rbc Capital Markets Corporation
  Houston, TX
• 10/2019 → Present
  City National Bank
  Houston, TX

Previous Registrations

• 1995-04-17 → 2006-09-26
  Citigroup Global Markets Inc.
  Houston, TX
  Houston, TX

Other Businesses

HEDWIG VILLAGE PENSION ADVISORY BOARD, CITY OF HEDWIG VILLAGE, TEXAS. INVESTMENT RELATED, ADVISE COUNCIL ON PENSION OPTIONS FOR CITY EMPLOYEES, BOARD MEMBER, 01/01/02, 4-8 PER MONTH, 4-8, ADVISE COUNCIL ON PENSION OPTIONS FOR CITY EMPLOYEES. SUGCESTED HEDWIG VILLAGE HIRE TX MUNICIPAL RET SYSTEM (TRMS) TO HANDLE EMPLOYEES PENSION. TMRS IS A STATE RUN SYSTEM. I MADE AND MAKE NO SUGGESTIONS AS TO INVESTMENTS. HV HIRED TRMS.

Exams

• S65 Uniform Investment Adviser Law Examination
  2011-03-10
• S63 Uniform Securities Agent State Law Examination
  1990-02-02