Thomas Christophe Prentice

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
CA	RA	APPROVED	2016-01-06

CA RA
APPROVED

Since 2016-01-06

Branch Locations

74-199 El Paseo Drive Suite 102, Palm Desert, CA 92260-4148 • United States

Rancho Mirage, CA • 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, Llc	Palm Desert	CA	01/2016	Present
City National Bank	Palm Desert	CA	11/2016	Present

01/2016 → Present

Rbc Capital Markets, Llc

Palm Desert, CA
11/2016 → Present

City National Bank

Palm Desert, CA

Previous Registrations

1995-08-22 → 2016-01-07

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Indian Wells, CA

Indian Wells, CA

Other Businesses

(1) RENTAL HOUSE: ADDRESS: 8309 ROBERTSON, FRISCO, TX, 75034: NOT INVESTMENT RELATED: BUSINESS DESCRIPTION: RENTAL PROPERTY; CAPACITY: OWNER-PASSIVE: START DATE: 7/19/2018; DUTIES: LANDLORD; HOURS DEVOTED PER MONTH: 0;, HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. (2) RANCH; ADDRESS: THERMAL, CALIFORNIA, NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: RANCH PROPERTY; CAPACITY: OWNER-ACTIVE; START DATE: 10/31/2018; DUTIES: MAINTAIN THE PROPERTY; HOURS DEVOTED PER MONTH: APPROX 7; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. (3) NAME OF ENTITY: RENTAL PROPERTY; ADDRESS: 517 HAVEN DRIVE ANNA TEXAS 75409; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: SINGLE FAMILY HOME; CAPACITY: OWNER-PASSIVE; START DATE: 11/2019; DUTIES: LANDLORD; HOURS DEVOTED PER MONTH: 0; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0; (4) NAME OF ENTITY: Rental house; ADDRESS: 528 Haven AnnaTexas 75409; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Rental Property; CAPACITY: Sole Proprietor; START DATE: 02/2020; DUTIES: Collect Rent; HOURS DEVOTED PER MONTH: 1-4; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1; (5) Name: Single family home rental Address: 10608 Sexton Dr---. McKinney Texas --75072 Business Description: rental Business is not investment related Projected Start Date: 11/25/20 Capacity: Owner - Passive Duties Performed: landlord Devoted to this OBA per Month: 1-4 Hours Devoted to this OBA during business hours: 0

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-09-26
S63	Uniform Securities Agent State Law Examination	1983-07-05

S65 Uniform Investment Adviser Law Examination

1994-09-26
S63 Uniform Securities Agent State Law Examination

1983-07-05

View on SEC IAPD