David J Barnes

Rbc Capital Markets, LLC

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Current Employers

Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

Authority	Category	Status	Date
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

Organization	City	State	From	To
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

08/1993 → 05/2024

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Belair, MD
06/2011 → 05/2024

Bank Of America,N.A.

Bel Air, MD
05/2024 → Present

Rbc Capital Markets, Llc

Bel Air, MD

Previous Registrations

1994-01-07 → 2024-05-20

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Belair, MD

Bel Air, MD

Exams

Code	Exam	Date
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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Other Investors

MELISSA MARIE MULLAN

ERIK LOUIS KELLER

ADAM WILLIS FREELAND

Michael Hax Clayton

Bryan Angelilli

ALEC LLOYD MOURING

JOSEPH MICHAEL ANDERSEN

Other Offices

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · BEL AIR, MD

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Bel Air, MD

OSAIC WEALTH, INC. · BEL AIR, MD

FOUNDERS FINANCIAL SECURITIES LLC · BEL AIR, MD

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · BEL AIR, MD

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Bel Air, MD

AMERIPRISE FINANCIAL SERVICES, LLC · Bel Air, MD

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Be Air, MD

More in Bel Air, MD

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