David Aaron Margolies

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

• 10/2018 → Present
  Rbc Capital Markets, Llc.
  Florham Park, NJ
• 12/2015 → 10/2018
  Ameriprise Financial Services, Inc.
  Paramus, NJ

Previous Registrations

• 2017-10-13 → 2018-10-02
  Ameriprise Financial Services, Llc
  Paramus, NJ
  Paramus, NJ

Other Businesses

1) NAME OF ENTITY: The Katelyn Morales Foundation A NJ nonprofit Corporation ADDRESS: PO Box 676, Allenwood, New Jersey, 08720 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: 21/06/2024 CAPACITY: Other DUTIES: Help fundraise for a charity to give out scholarships etc in the memory of a deceased friend's daughter. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours

Exams

• S66 Uniform Combined State Law Examination
  2016-04-07