Theodore Robert Moorhead

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

• 08/2008 → 05/2024
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  San Jose, CA
• 07/2011 → 05/2024
  Bank Of America, N.A.
  San Jose, CA
• 05/2024 → Present
  Rbc Capital Markets, Llc
  San Jose, CA

Previous Registrations

• 2008-08-01 → 2024-06-14
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  San Jose, CA
  San Jose, CA
  San Jose, CA
  San Jose, CA
• 2007-04-02 → 2008-08-05
  Morgan Stanley & Co. Llc
  Cupertino, CA
• 2000-01-13 → 2007-04-02
  Morgan Stanley Dw Inc.
  Cupertino, CA
  Cupertino, CA

Other Businesses

(1) NAME OF ENTITY: Bay Area Housing, Inc ADDRESS: 101 Church St.104, Los Gatos, CA 95030 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: Mar 11, 2009 CAPACITY: Director DUTIES: I am on the board. We meet 4 times per year to discuss the organization. HOURS DEVOTED PER MONTH: 0 - 4 hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 hours (2) NAME OF ENTITY: Morgan Autism Center ADDRESS: 950 St Elizabet Dr. San Jose CA 95126 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: Jan 06, 2010 CAPACITY: Board of Directors DUTIES: We meet once a month to discuss MAC. HOURS DEVOTED PER MONTH:0 - 4 hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 hours (3) NAME OF ENTITY: Ted Rental Properties ADDRESS: 16707 Shannon Road Los Gatos CA 95032 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Rental Property START DATE: Oct 15, 2019 CAPACITY: Owner DUTIES: I collect income from the property manager. HOURS DEVOTED PER MONTH: 0 - 4 hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 hours

Exams

• S65 Uniform Investment Adviser Law Examination
  1992-05-05
• S63 Uniform Securities Agent State Law Examination
  1990-12-21

Designations

• Chartered Financial Consultant

Other Names

• Ted Robert Moorhead