Daniel Richard Wolfgram

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  Barrington, IL
• 11/2016 → 06/2023
  Wells Fargo Clearing Services, Llc
  Barrington, IL
• 06/2023 → Present
  Rbc Capital Markets, Llc
  Omaha, NE

Previous Registrations

• 2008-01-01 → 2023-06-21
  Wells Fargo Clearing Services, Llc
  Barrington, IL
  Barrington, IL
• 2000-12-26 → 2008-01-01
  A. G. Edwards & Sons, Inc.
  Barrington, IL
  St. Louis, MO
  Barrington, IL

Other Businesses

BARRINGTON HILLS ZONING BOARD OF APPEALS; NOT INVESTMENT RELATED; BARRINGTON HILLS, IL; BOARD CHAIRMAN; START DATE 3/2020; 5 HRS PER MONTH; 0 HRS DURING TRADING; DUTIES: SETTING THE AGENDA, CONDUCTING MEETINGS, REVIEWING AND DECIDING ON ZONING RULES AND APPEALS.

Exams

• S66 Uniform Combined State Law Examination
  2000-12-18
• S63 Uniform Securities Agent State Law Examination
  1981-04-11