Lawrence Charles Denny

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

• 01/2011 → 11/2016
  Wells Fargo Advisors Llc
  Faribault, MN
• 11/2016 → 03/2022
  Wells Fargo Clearing Services, Llc
  Faribault, MN
• 03/2022 → Present
  Rbc Capital Markets, Llc
  Rochester, MN

Previous Registrations

• 2011-01-03 → 2022-03-23
  Wells Fargo Clearing Services, Llc
  Faribault, MN
  Minneapolis, MN
• 2003-03-12 → 2011-01-03
  Wells Fargo Investments, Llc
  Fairbault, MN
  Faribault, MN
• 1997-07-23 → 2003-03-19
  Legg Mason Wood Walker, Incorporated
  Gaithersburg, MD

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-02-05
• S63 Uniform Securities Agent State Law Examination
  1996-09-18