Robert Moshe Thompson

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

• 11/2008 → 01/2022
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Sylvania, OH
• 09/2009 → 01/2022
  Bank Of America, N.A.
  Slyvania, OH
• 01/2022 → Present
  Rbc Capital Markets, Llc
  Toledo, OH
• 02/2022 → Present
  City National Bank
  Toledo, OH

Previous Registrations

• 2008-11-13 → 2022-01-14
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Toledo, OH
  Toledo, OH
  Dearborn, MI
• 1999-08-18 → 2008-11-24
  Ubs Financial Services Inc.
  Sylvania, OH
  Toledo, OH

Other Businesses

1)AMERICAN CANCER SOCIETY 5555 FRANTZ RD DUBLIN OH; FIGHT CANCER THROUGH RESEARCH, EDUCATION, ADVOCACY AND PATIENT SERVICES; NOT IVST RTLD; SUBCOMMITTEE MEMBER; STARTED-01-01-2007; HRS/MO-11-20; HRS/TRD-0; FINANCE COMMITTEE MEMBER. 2)I*38397 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: ST CATHERINE OF SIENA CATHOLIC CHURCH INVESTMENT RELATED: N ADDRESS OF BUSINESS: 1155 CORBIN RD, TOLEDO, OHIO 0 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 1/1/2011 NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS IS MY HOME PARISH THAT I AM HELPING AS THE FINACE COMITTEE CHAIR. 3)I*25978 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: ERIE SHORES COUNCIL BOY SCOUTS OF AMERICA INVESTMENT RELATED: N ADDRESS OF BUSINESS: PO BOX 337, TOLEDO, OHIO 43697 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 1/1/1998 NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: ADVISORY BOARD MEMBER THE ERIE SHORES COUNCIL PROVIDES OUTSTANDING SCOUTING PROGRAMS TO THE YOUTH OF NORTHWEST OHIO IN LUCAS, OTTAWA, SANDUSKY, WOOD AND EASTERN FULTON COUNTIES. PROGRAMS ARE OPERATED BY AGE LEVELS MIXING LOTS OF FUN TOGETHER WITH OUTDOOR 4)I*3216 For profit or not for profit: Governmental or Public Purpose Entity Name of outside business organization: Bowling Green State University Investment related: N Address of business: Bowling Green, Ohio 43403 Nature of business: Higher Education, Position, title, association: Adjunct Instructor, Start date of relationship: 1/27/2020 Number of hours devoted: 9 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: teaching 1 evening class intro to Economics 5)NAME OF ENTITY: North Cape Yacht Club ADDRESS: 11850 Toledo Beach Rd. La Salle, MI 48145 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Yacht Club CAPACITY: Board of Directors START DATE: 1/1/2015 DUTIES: secretary - record all the minutes for our meetings HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 6)NAME OF ENTITY: Wolf Creek HOA ADDRESS: PO Box 846 Holland OH 43528 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Homeowners Association CAPACITY: Board of Directors * Treasurer START DATE: 01/01/15 DUTIES: As treasurer I approve our bookkeeper to pay all the bills HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (7) NAME OF ENTITY: Victory Center ADDRESS: 3166 Republic Blvd. N. Toledo OH 43615 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Cancer service program CAPACITY: Board of Directors * START DATE: 01.01.17 DUTIES: advisory on community development HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 8)NAME: St. Catherine of Siena Catholic Church Non-Investment related ADDRESS: 4555 N. Haven Ave. Toledo OH 43612 Nature of OBA: Religious entity Position/Title/Relationship: Committee/Council Member (not associated with the Board of Directors) Start Date: 01/01/00 Time Devoted: 1 hour; 0 during securities trading Duties: general advice to parish leadership & helping keep church on budgets

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-04-09
• S63 Uniform Securities Agent State Law Examination
  1994-12-17

Other Names

• Robert Moshe Thompson