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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

AuthorityCategoryStatusDate
TX RA APPROVED 2025-04-04
MN RA APPROVED 2025-04-01
  • TX RA
    APPROVED
    Since 2025-04-04
  • MN RA
    APPROVED
    Since 2025-04-01

Branch Locations

Mendota Heights, MN • United States

250 Nicollet Mall Suite 2000, 16Th Floor, Minneapolis, MN 55401-1931 • 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
Lpl Financial Llc Apple Valley MN 07/2023 03/2025
Wings Financial Credit Union Apple Valley MN 07/2023 03/2025
Holy Spirit And Cretin-Derham Hall Schools St. Paul MN 01/2013 05/2019
Creighton University Omaha NE 08/2019 05/2023
Td Ameritrade Omaha MN 01/2022 05/2022
Rbc Wealth Management Minneapolis MN 05/2022 08/2022
Rbc Capital Markets, Llc Minneapolis MN 03/2025 Present
  • 07/2023 → 03/2025
    Apple Valley, MN
  • 07/2023 → 03/2025
    Wings Financial Credit Union
    Apple Valley, MN
  • 01/2013 → 05/2019
    Holy Spirit And Cretin-Derham Hall Schools
    St. Paul, MN
  • 08/2019 → 05/2023
    Creighton University
    Omaha, NE
  • 01/2022 → 05/2022
    Td Ameritrade
    Omaha, MN
  • 05/2022 → 08/2022
    Rbc Wealth Management
    Minneapolis, MN
  • 03/2025 → Present
    Minneapolis, MN
Previous Registrations
  • 2023-12-19 → 2025-04-02
    Apple Valley, MN
    Minneapolis, MN
    Minnetonka, MN
    Edina, MN
    College Park, GA
    College Park, GA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-12-18
  • S66 Uniform Combined State Law Examination
    2023-12-18
Other Names
  • Vincent Berndt
  • Vince Berndt

View on SEC IAPD

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