Richard Arthur Schaefer

Current Employers

Rbc Capital Markets, Llc

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-12-08
TX	RA	APPROVED_RES	2017-03-31
WV	RA	APPROVED	2006-04-26
AZ	RA	APPROVED	2006-02-28

CA RA
APPROVED

Since 2025-12-08
TX RA
APPROVED_RES

Since 2017-03-31
WV RA
APPROVED

Since 2006-04-26
AZ RA
APPROVED

Since 2006-02-28

Branch Locations

Carmel By The Sea, CA • United States

3430 East Sunrise Drive Suite 250, Tucson, AZ 85718-3237 • United States

Tucson, AZ • 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	Tucson	AZ	03/2008	Present
City National Bank	Tucson	AZ	05/2017	Present

03/2008 → Present

Rbc Capital Markets Llc

Tucson, AZ
05/2017 → Present

City National Bank

Tucson, AZ

Other Businesses

(1) RENTAL PROPERTIES; ADDRESS: TUCSON, AZ; BUSINESS DESCRIPTION: TWO RENTAL PROPERTIES; NOT INVESTMENT RELATED; START DATE: 11/01/2015; CAPACITY: OWNER-PASSIVE; DUTIES: LANDLORD; HOURS DEVOTED PER WEEK: .50; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (2) TUCSON MEDICAL CENTER; ADDRESS: 5301 E GRANT RD TUCSON AZ, 85712; BUSINESS DESCRIPTION: HOSPITAL; NOT INVESTMENT RELATED; START DATE: 09/10/2014; CAPACITY: COMMITTEE/COUNCIL MEMBER-FINANCIAL; DUTIES: REVIEW OF HOSPITALS FINANCIALS AND REPORT TO BOARD; HOURS DEVOTED PER WEEK: .50; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (3) SONORAN INSTITUTE; ADDRESS: 110 N. STONE AVE. STE. 400, TUCSON, AZ 85701; BUSINESS DESCRIPTION: NOT FOR PROFIT; NOT INVESTMENT RELATED; START DATE: 04/30/2017; CAPACITY: BOARD OF DIRECTORS; DUTIES: OVERSIGHT AND GUIDANCE; HOURS DEVOTED PER WEEK: 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: NONE (4) Name of Entity: Santa Lucia Conservancy Non-Investment related Address of Entity: 5240 Carmel Valley Rd. Carmel, California 93923 Nature of OBA: Non-Profit Environmental organization Position/Title/Relationship: Board of Directors * Start Date: 03/22/23 Time Devoted: 30 minutes; 0 during securities trading hours Duties: As a volunteer I will be assisting with helping promote the mission of this conservancy. Nothing more.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-02-23
S63	Uniform Securities Agent State Law Examination	1982-07-19

S66 Uniform Combined State Law Examination

2006-02-23
S63 Uniform Securities Agent State Law Examination

1982-07-19