Todd David Ellis

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

• 01/2009 → 10/2020
  Ubs Financial Services Inc
  New York, NY
• 10/2020 → Present
  Rbc Capital Markets, Llc
  New York, NY
• 10/2020 → 01/2025
  City National Bank
  New York, NY

Previous Registrations

• 2009-03-09 → 2020-11-04
  Ubs Financial Services Inc.
  New York, NY
  Boyce, VA

Other Businesses

1) 20% OF RACE HORSES IN KENTUCKY. PASSIVE INVESTMENT 2)LISLE PROPERTIES / P.O. BOX 81 BOYCE,VA 22620 / PARTNERSHIP/ REAL ESTATE / OWNERSHIP OF BUILDING AT 29 WEST CORK STREET WINCHESTER VA / PARTNER / / 100% OWNERSHIP OF LLC / START DATE 8/14/2014 2) Name: Lisle LLC Address: PO Box 115 Boyce VA 22620 Business Description: commercial real estate Business is not investment related Projected Start Date: 08/05/14 Capacity: Sole Proprietor, Owner - Passive Duties Performed: collecting rent and paying bills Devoted to this OBA per Month: 0 Hours Devoted to this OBA during business hours: 0

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-01-18
• S63 Uniform Securities Agent State Law Examination
  1992-01-27