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David J Barnes

Rbc Capital Markets, LLC

Bel Air, MD

Baldwin, MD

CRD 2390785

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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
MD RA APPROVED 2024-05-10
TX RA APPROVED 2024-05-10
  • MD RA
    APPROVED
    Since 2024-05-10
  • TX RA
    APPROVED
    Since 2024-05-10

Branch Locations

128 N Bond St Suite 501, Bel Air, MD 21014 • United States

Baldwin, MD • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Belair MD 08/1993 05/2024
Bank Of America,N.A. Bel Air MD 06/2011 05/2024
Rbc Capital Markets, Llc Bel Air MD 05/2024 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-11-10
S63 Uniform Securities Agent State Law Examination 1993-10-22
  • S65 Uniform Investment Adviser Law Examination
    1993-11-10
  • S63 Uniform Securities Agent State Law Examination
    1993-10-22
Other Names
  • Dave Barnes
  • David J Barnes
  • David Joseph Barnes

View on SEC IAPD

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MELISSA MARIE MULLAN
ERIK LOUIS KELLER
ADAM WILLIS FREELAND

Nearby Offices

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · BEL AIR, MD
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Bel Air, MD
OSAIC WEALTH, INC. · BEL AIR, MD

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