James David Lynch

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

• 02/2011 → 11/2016
  Wells Fargo Advisors Llc
  Modesto, CA
• 11/2016 → 03/2021
  Wells Fargo Clearing Services, Llc
  Modesto, CA
• 03/2021 → Present
  Rbc Capital Markets, Llc
  San Diego, CA

Previous Registrations

• 2011-02-17 → 2021-03-19
  Wells Fargo Clearing Services, Llc
  Modesto, CA
  Stockton, CA
  San Diego, CA
• 2009-01-02 → 2011-02-17
  Raymond James Financial Services Advisors, Inc
  Saint Petersburg, FL
  Modesto, CA
• 2004-05-04 → 2009-01-02
  Raymond James Financial Services, Inc.
  Modesto, CA
• 2001-05-15 → 2004-05-07
  Wells Fargo Investments, Llc
  Turlock, CA

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-04-04
• S63 Uniform Securities Agent State Law Examination
  1994-05-13