Charles Henry Putney

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
TX	RA	APPROVED_RES	2017-03-30
AZ	RA	APPROVED	2011-11-08
OR	RA	APPROVED	2010-08-31

TX RA
APPROVED_RES

Since 2017-03-30
AZ RA
APPROVED

Since 2011-11-08
OR RA
APPROVED

Since 2010-08-31

Branch Locations

Tucson, AZ • United States

4949 Sw Meadows Road Suite 250, Lake Oswego, OR 97035 • United States

Portland, OR • 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 Corporation	Portland	OR	06/2010	Present

06/2010 → Present

Rbc Capital Markets Corporation

Portland, OR

Other Businesses

JAMES F & MARION L MILLER FOUNDATION; ADDRESS: 520 SW YAMHILL ST PORTLAND, OR 97205; BUSINESS DESCRIPTION: INDEPENDENT PRIVATE FOUNDATION; NOT INVESTMENT RELATED; START DATE: 01/01/2002; CAPACITY: BOARD OF DIRECTORS; DUTIES: CHAIR A BOARD OF DIRECTORS GRANTING APPROXIMATELY $10MM ANNUALLY TO CHARITIES & EDUCATIONAL ORGANIZATIONS; HOURS DEVOTED PER WEEK: 6.25; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 4.25

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2010-08-30
S63	Uniform Securities Agent State Law Examination	1985-01-08

S66 Uniform Combined State Law Examination

2010-08-30
S63 Uniform Securities Agent State Law Examination

1985-01-08

View on SEC IAPD