Jason Robert Kleis

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

• 05/2016 → Present
  Rbc Capital Markets, Llc
  Siux City, IA

Previous Registrations

• 2009-10-16 → 2016-05-23
  Stifel, Nicolaus & Company, Incorporated
  Dakota Dunes, SD
• 2006-08-12 → 2009-10-16
  Ubs Financial Services Inc.
  Weehawken, NJ
  Sioux City, IA
  Leawood, KS
• 2007-08-24 → 2007-09-17
  Rbc Capital Markets, Llc
  Sioux City, IA
• 2000-03-14 → 2006-08-12
  Piper Sandler & Co.
  Minneapolis, MN
  Leawood, KS
  Leawood, KS

Other Businesses

(1) NAME OF ENTITY: DAKOTA VALLEY SCHOOL DISTRICT. ADDRESS OF BUSINESS: 1150 NORTHSHORE DR NORTH SIOUX CITY, SD 57049. BUSINESS DESCRIPTIONS: BOYS BASKETBALL COACH. BUSINESS IS/IS NOT INVESTMENT RELATED: NO. PROJECTED START DATE: - 09/03/2007. CAPACITY: EMPLOYEE. DUTIES PERFORMED: COACHING BASKETBALL. HOURS DEVOTED TO THIS OBA PER MONTH: 05. HOURS DEVOTED DURING SECURITY TRADING HOURS PER MONTH: 03. (2) JA-CON HOLDINGS; ADDRESS: RESIDENCE; BUSINESS DESCRIPTION: LLC USED TO PURCHASE REAL ESTATE; NOT INVESTMENT RELATED; START DATE: 09/29/2016; CAPACITY: OWNER-PASSIVE; DUTIES: NONE; HOURS DEVOTED PER WEEK: NONE; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: NONE (3) STONE BRU; ADDRESS: DAKOTA DUNES, SD & SIOUX CITY, IA; BUSINESS DESCRIPTION: COFFEE/SANDWICH SHOP; NOT INVESTMENT RELATED; START DATE: 08/16/2017; CAPACITY: OWNER-PASSIVE; DUTIES: NONE; HOURS DEVOTED PER WEEK: NONE; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: NONE (4) Name: Fox Run Investors Address: 205 B Street Sergeant Bluff, IA 51054 Business Description: Passive ownership apartment complex Business is not investment related Projected Start Date: 07/30/20 Capacity: Owner - Passive Duties Performed: None, other than possibly capital allocations for improvements. Devoted to this OBA per Month: 0 Hours Devoted to this OBA during business hours: 0 (5) NAME OF ENTITY: dvhoops holdings; ADDRESS: 504 Firethorn Trail Dakota Dunes, SD 57049; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Vacation home putting under LLC name. May rent out from time to time; CAPACITY: Owner - Passive; START DATE: 01/21/2021; DUTIES: will own the home; HOURS DEVOTED PER MONTH: None; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: None;

Exams

• S66 Uniform Combined State Law Examination
  2007-10-29
• S65 Uniform Investment Adviser Law Examination
  1996-12-17
• S63 Uniform Securities Agent State Law Examination
  1996-12-05