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Daniel Stephen Smith

Rbc Capital Markets, LLC

New York, NY

Omaha, NE

Omaha, NE

CRD 2561692

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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
MN RA APPROVED 2022-10-31
  • MN RA
    APPROVED
    Since 2022-10-31

Branch Locations

1211 Avenue Of The Americas Suite 3300, New York, NY 10036 • United States

12910 Pierce St. Suite 300, Omaha, NE 68144-1106 • United States

Omaha, NE • 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
Rbc Capital Markets Corporation Omaha NE 03/2008 Present
  • 03/2008 → Present
    Rbc Capital Markets Corporation
    Omaha, NE
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1997-04-14
  • S63 Uniform Securities Agent State Law Examination
    1997-04-14
Designations
  • Chartered Financial Analyst

View on SEC IAPD

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