Patricia Prentice

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

• 01/2016 → Present
  Rbc Capital Markets, Llc
  Palm Desert, CA

Previous Registrations

• 2011-02-11 → 2016-01-07
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Indian Wells, CA

Other Businesses

(1) NAME OF ENTITY: Dogs for the Brave NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Train dogs and give trained dogs to disabled veterans to help them with daily life and support CAPACITY: Board of Directors START DATE: 04/16/2021 DUTIES: Board Member HOURS DEVOTED PER MONTH: 02 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: None (2) NAME OF ENTITY: Mama's House Ministries ADDRESS: 44875 Deep Canyon Suite 2 Palm Desert CA 92260 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: 01/09/2025 CAPACITY: Board of Directors DUTIES: Act in the capacity as a board of director as listed in the bylaws for Mama's House which provides education, facilitate restoration, and to establish safe, nurturing homes for women in crisis pregnancies or are otherwise at risk. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours

Exams

• S66 Uniform Combined State Law Examination
  2011-02-03

Other Names

• Tricia Hodgkinson
• Tricia Haley
• Tricia Pruitt
• Tricia Prentice