Thomas Frank Lynch

Current Employers

Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

Authority	Category	Status	Date
NH	RA	APPROVED	2008-06-23

NH RA
APPROVED

Since 2008-06-23

Branch Locations

6 Bedford Farms Drive Suite 109, Bedford, NH 03110 • United States

Salem, NH • 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	Nashua	NH	06/2008	Present

06/2008 → Present

Rbc Capital Markets, Llc

Nashua, NH

Previous Registrations

2008-01-01 → 2008-06-23

Wells Fargo Clearing Services, Llc

Nashua, NH
1998-02-05 → 2008-01-01

A. G. Edwards & Sons, Inc.

Nashua, NH

Nashua, NH

St. Louis, MO

Other Businesses

(1) SALEMHAVEN NURSING HOME; ADDRESS: 23 GEREMONTY BLVD SALEM, NH 03079; BUSINESS DESCRIPTION: NOT FOR PROFIT LONG TERM CARE; NOT INVESTMENT RELATED; START DATE: 01/28/2014; CAPACITY: BOARD OF DIRECTORS; DUTIES: REVIEW OPERATIONS OF MANAGEMENT TEAM, GUIDE EFFORTS & SUPPORT INITIATIVES; HOURS DEVOTED PER WEEK: 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2010-12-09
S63	Uniform Securities Agent State Law Examination	1982-07-09

S65 Uniform Investment Adviser Law Examination

2010-12-09
S63 Uniform Securities Agent State Law Examination

1982-07-09

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