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Daniel Chasen Cole

Rbc Capital Markets, LLC

Newport Beach, CA

Rancho Santa Margarita, CA

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Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
VI RA APPROVED 2025-01-14
TX RA APPROVED 2023-11-01
CA RA APPROVED 2023-10-31
  • VI RA
    APPROVED
    Since 2025-01-14
  • TX RA
    APPROVED
    Since 2023-11-01
  • CA RA
    APPROVED
    Since 2023-10-31

Branch Locations

610 Newport Center Drive Suite 900, Newport Beach, CA 92660-6448 • United States

Rancho Santa Margarita, CA • 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 Bank Na Irvine CA 02/2009 09/2023
Wells Fargo Advisors Llc Irvine CA 05/2014 11/2016
Wells Fargo Clearing Services, Llc Irvine CA 11/2016 09/2023
Rbc Capital Markets, Llc Newport Beach CA 09/2023 Present
  • 02/2009 → 09/2023
    Wells Fargo Bank Na
    Irvine, CA
  • 05/2014 → 11/2016
    Wells Fargo Advisors Llc
    Irvine, CA
  • 11/2016 → 09/2023
    Wells Fargo Clearing Services, Llc
    Irvine, CA
  • 09/2023 → Present
    Rbc Capital Markets, Llc
    Newport Beach, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-10-31
S63 Uniform Securities Agent State Law Examination 2014-07-09
  • S65 Uniform Investment Adviser Law Examination
    2023-10-31
  • S63 Uniform Securities Agent State Law Examination
    2014-07-09
Other Names
  • Daniel Cole

View on SEC IAPD

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Other Offices

OKAPI CAPITAL, LLC · NEWPORT BEACH, CA
OCVC, LLC · NEWPORT BEACH, CA
MIG CAPITAL, LLC · NEWPORT BEACH, CA
RESEARCH AFFILIATES · NEWPORT BEACH, CA
PAAMCO PRISMA, LLC · NEWPORT BEACH, CA
COMPOSITION WEALTH, LLC · Newport Beach, CA
J.P. MORGAN SECURITIES LLC · NEWPORT BEACH, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Newport Beach, CA

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