Thomas Joseph Griffin

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

• 03/2008 → Present
  Rbc Capital Markets, Llc
  Portland, OR
• 11/2017 → Present
  City National Bank
  Portland, OR

Other Businesses

(1) Name of Entity - Multifamily residential investment (2 units) Address - 340 NW 12th Street, Gresham, Or 97030 Business Description - Small residential rental property Projected Start Date: 07/01/2019 Capacity: Owner- Passive Duties Performed: Investment in down payments on future purchases Hours Devoted to this OBA per Month: Less than 1 Hours Devoted to this OBA during business hours: 0 (2) NAME OF ENTITY: Individual Proprietors ADDRESS: 32500 Brooks Road SE, Boring, Oregon 97009 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: rental property 2045 SE 145th Street, Portland Or CAPACITY: Owner - Passive START DATE: 3/29/21 DUTIES: provider of capital HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (3) NAME OF ENTITY: Individual Proprietors ADDRESS: 32500 Brooks Road SE, Boring, Oregon 97009 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: rental condo 200 SW Florence Ave, Unit E-10 Gresham, OR CAPACITY: Owner - Passive START DATE: 12/08/20 DUTIES: capital for improvements or maintenance on property HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (4) NAME OF ENTITY: Individual Proprietors ADDRESS: 32500 Brooks Road SE, Boring, Oregon 97009 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: rental property 10201 SE Holgate Road, Portland, OR CAPACITY: Owner - Passive START DATE: 03/10/20 DUTIES: capital investment for improvements HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (5) NAME OF ENTITY: Individual Proprietors ADDRESS: 32500 Brooks Road SE, Boring, Oregon 97009 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: rental property 1180 Oxford Street SE, Salem Oregon CAPACITY: Owner - Passive START DATE: 05/19/21 DUTIES: financial HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (6) NAME OF ENTITY: Individual Proprietors ADDRESS: 32500 Brooks Road SE, Boring, Oregon 97009 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: rental property 1651 NE 156th Avenue, Portland, Or 97203 CAPACITY: Owner - Passive START DATE: 04/16/22 DUTIES: provider of credit HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams

• S66 Uniform Combined State Law Examination
  2006-02-04