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Samuel Chapman Shafer

Rbc Capital Markets, LLC

New York, NY

Norwalk, CT

CRD 7612030

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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
CT RA APPROVED 2025-08-20
NY RA APPROVED 2025-08-20
CO RA APPROVED 2023-12-05
  • CT RA
    APPROVED
    Since 2025-08-20
  • NY RA
    APPROVED
    Since 2025-08-20
  • CO RA
    APPROVED
    Since 2023-12-05

Branch Locations

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

Norwalk, CT • 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
Rbc Capital Markets, Llc New York NY 08/2022 Present
Tm Ward Coffee Norwalk CT 06/2021 09/2021
Tm Ward Coffee Norwalk CT 06/2020 09/2020
Loyola University Of Maryland Baltimore MD 09/2021 05/2022
Loyola University Of Maryland Baltimore MD 09/2020 05/2021
Loyola University Of Maryland Baltimore MD 09/2017 05/2020
Trinity Pawling School Pawling NY 09/2012 09/2017
  • 08/2022 → Present
    Rbc Capital Markets, Llc
    New York, NY
  • 06/2021 → 09/2021
    Tm Ward Coffee
    Norwalk, CT
  • 06/2020 → 09/2020
    Tm Ward Coffee
    Norwalk, CT
  • 09/2021 → 05/2022
    Loyola University Of Maryland
    Baltimore, MD
  • 09/2020 → 05/2021
    Loyola University Of Maryland
    Baltimore, MD
  • 09/2017 → 05/2020
    Loyola University Of Maryland
    Baltimore, MD
  • 09/2012 → 09/2017
    Trinity Pawling School
    Pawling, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-12-05
  • S66 Uniform Combined State Law Examination
    2023-12-05
Other Names
  • Sam Shafer

View on SEC IAPD

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