Nicholas T Dzuna

Rbc Capital Markets, LLC

Jersey City, NJ

CRD 7478700

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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

Authority	Category	Status	Date
NJ	RA	APPROVED	2023-04-17
NY	RA	APPROVED	2023-04-14

NJ RA
APPROVED

Since 2023-04-17
NY RA
APPROVED

Since 2023-04-14

Branch Locations

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

Jersey City, NJ • 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

Organization	City	State	From	To
Rbc Capital Markets, Llc	New York City	NY	12/2021	Present
Opdyke Furniture	Point Pleasant	NJ	06/2014	05/2021
Unemployed	Point Pleasant	NJ	05/2021	12/2021

12/2021 → Present

Rbc Capital Markets, Llc

New York City, NY
06/2014 → 05/2021

Opdyke Furniture

Point Pleasant, NJ
05/2021 → 12/2021

Unemployed

Point Pleasant, NJ

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2023-04-14

S66 Uniform Combined State Law Examination

2023-04-14

View on SEC IAPD

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