Daniel John Legan

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

• 06/2015 → 11/2016
  Wells Fargo Advisors, Llc
  Indian Wells, CA
• 11/2016 → 05/2024
  Wells Fargo Clearing Services, Llc
  Indian Wells, CA
• 05/2024 → Present
  Rbc Capital Markets, Llc
  Palm Desert, CA

Previous Registrations

• 2015-06-30 → 2024-05-15
  Wells Fargo Clearing Services, Llc
  Palm Desert, CA
• 2010-05-12 → 2015-07-15
  Ubs Financial Services Inc.
  Indian Wells, CA
• 2009-06-01 → 2010-05-18
  Morgan Stanley
  Indian Wells, CA
• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  Palm Desert, CA
• 2006-09-22 → 2007-04-02
  Morgan Stanley Dw Inc.
  Palm Desert, CA
• 2002-02-11 → 2006-10-03
  Ubs Financial Services Inc.
  Indian Wells, CA
  Palm Desert, CA

Exams

• S63 Uniform Securities Agent State Law Examination
  1994-02-15