David Franklin Williams

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
AZ	RA	APPROVED	2022-01-13
OH	RA	APPROVED	2022-01-13
TX	RA	APPROVED_RES	2022-01-13

AZ RA
APPROVED

Since 2022-01-13
OH RA
APPROVED

Since 2022-01-13
TX RA
APPROVED_RES

Since 2022-01-13

Branch Locations

7150 Granite Circle Suite 203, Toledo, OH 43617 • United States

Cave Creek, 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Toledo	OH	11/2008	01/2022
Bank Of America, N.A.	Toledo	OH	06/2011	01/2022
Rbc Capital Markets, Llc	Toledo	OH	01/2022	Present
City National Bank	Toledo	OH	02/2022	Present

11/2008 → 01/2022

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Toledo, OH
06/2011 → 01/2022

Bank Of America, N.A.

Toledo, OH
01/2022 → Present

Rbc Capital Markets, Llc

Toledo, OH
02/2022 → Present

City National Bank

Toledo, OH

Previous Registrations

2008-11-14 → 2022-01-14

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Cave Creek, AZ

Toledo, OH

Toledo, OH

Cave Creek, AZ
1999-08-18 → 2008-11-21

Ubs Financial Services Inc.

Toledo, OH

Sylvania, OH

Other Businesses

(1) FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: EPILEPSY CENTER FOUNDATION OF NORTHWEST OHIO INVESTMENT RELATED: N ADDRESS OF BUSINESS: MAUMEE, OHIO 43457 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 5/16/2017 NUMBER OF HOURS DEVOTED: 4 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: VOTING BOARD MEMBER. NO DIRECT RESPONSIBILITIES. (2) NAME OF ENTITY: Carefree Foothills Homeowners' Association ADDRESS: 17220 N Boswell Blvd Suite 140 Sun City Arizona 85373 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Other START DATE: Nov 10, 2015 CAPACITY: Board of Directors DUTIES: Secretary/Treasurer// I take the Board meeting minutes at our Board meetings and annual meeting. We have approximately 3-4 meetings a year depending on matters on agenda. HOURS DEVOTED PER MONTH: 2 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-12-09
S63	Uniform Securities Agent State Law Examination	1985-05-06

S65 Uniform Investment Adviser Law Examination

1992-12-09
S63 Uniform Securities Agent State Law Examination

1985-05-06

View on SEC IAPD