David Jack Klein

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	2020-01-23
IN	RA	APPROVED	2000-04-25
IL	RA	APPROVED	1998-08-03

TX RA
APPROVED_RES

Since 2020-01-23
IN RA
APPROVED

Since 2000-04-25
IL RA
APPROVED

Since 1998-08-03

Branch Locations

2150 E. Lake Cook Road Suite 405, Buffalo Grove, IL 60089-8224 • United States

Long Grove, IL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Rbc Capital Markets Corporation	Vernon Hills	IL	03/2008	Present
City National Bank	Buffalo Grove	IL	03/2020	Present

03/2008 → Present

Rbc Capital Markets Corporation

Vernon Hills, IL
03/2020 → Present

City National Bank

Buffalo Grove, IL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-04-21
S63	Uniform Securities Agent State Law Examination	1980-05-30

S65 Uniform Investment Adviser Law Examination

1994-04-21
S63 Uniform Securities Agent State Law Examination

1980-05-30

View on SEC IAPD