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Bruce Scott Gelfand

Rbc Capital Markets, LLC

New York, NY

New York, NY

CRD 2568921

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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
NY RA APPROVED 2021-08-06
OH RA APPROVED 2017-11-27
  • NY RA
    APPROVED
    Since 2021-08-06
  • OH RA
    APPROVED
    Since 2017-11-27

Branch Locations

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

New York, NY • 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
Wells Fargo Advisors Llc New York NY 12/2013 11/2016
Wells Fargo Clearing Services, Llc New York NY 11/2016 11/2017
Rbc Capital Markets, Llc New York NY 11/2017 Present
City National Bank New York NY 04/2018 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-06-06
S63 Uniform Securities Agent State Law Examination 1995-01-09
  • S65 Uniform Investment Adviser Law Examination
    1997-06-06
  • S63 Uniform Securities Agent State Law Examination
    1995-01-09

View on SEC IAPD

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