Douglas Harmon Stine

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

Authority	Category	Status	Date
TX	RA	APPROVED	2015-05-20
IN	RA	APPROVED	2015-03-26

TX RA
APPROVED

Since 2015-05-20
IN RA
APPROVED

Since 2015-03-26

Branch Locations

8888 Keystone Crossing Suite 200, Indianapolis, IN 46240-4610 • United States

Noblesville, IN • 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
Rbc Capital Markets, Llc	Indianapolis	IN	02/2015	Present
City National Bank	Indianapolis	IN	06/2019	Present

02/2015 → Present

Rbc Capital Markets, Llc

Indianapolis, IN
06/2019 → Present

City National Bank

Indianapolis, IN

Other Businesses

NAME OF ENTITY: Indiana Orange baseball ADDRESS: 8770 North Street, Suite 100, Fishers, IN 46038 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Youth Baseball organization CAPACITY: Board of Directors * START DATE: 9/1/2021 DUTIES: I will be a voting member of the board. I likely be serving as secretary duties, or a general voting member of the board. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2015-03-26
S63	Uniform Securities Agent State Law Examination	2009-02-19

S65 Uniform Investment Adviser Law Examination

2015-03-26
S63 Uniform Securities Agent State Law Examination

2009-02-19

View on SEC IAPD