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Thomas Andrew Berger

Rbc Capital Markets, LLC

New York, NY

CRD 2147074

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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
NY RA APPROVED 2021-10-14
  • NY RA
    APPROVED
    Since 2021-10-14

Branch Locations

200 Vesey St., New York, NY 10281 • 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 Corporation New York NY 03/2008 Present
  • 03/2008 → Present
    Rbc Capital Markets Corporation
    New York, NY
Other Businesses

PUBLICATION OF WATERFALL BOOK, START 2010, LOOKING TO PUBLISH PHOTO JOURNAL

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-11-01
S63 Uniform Securities Agent State Law Examination 1992-09-15
  • S65 Uniform Investment Adviser Law Examination
    2000-11-01
  • S63 Uniform Securities Agent State Law Examination
    1992-09-15
Other Names
  • Thomas A Berger

View on SEC IAPD

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