Lynn D. Law Thompson

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

• 05/2014 → 04/2017
  M Holdings Securities, Inc.
  Portland, OR
• 06/2015 → 04/2017
  Capital Plan Inc.
  Dallas, TX
• 04/2017 → 08/2017
  Unemployed
  Houston, TX
• 08/2017 → 07/2018
  American Business Planning
  Houston, TX
• 07/2018 → 04/2025
  Bny Mellon
  Houston, TX
• 03/2019 → 04/2025
  Mbsc Securities Corporation
  Pittsburgh, PA
• 04/2025 → Present
  Rbc Capital Markets, Llc
  Houston, TX

Other Businesses

(1) Member of Westchester Academy for International Studies Parent Teacher Association (it is a collaborative partnership between parents and educators) located at 901 Yorkchester Drive, Houston, TX 77079. Working for 4-5 hours per month since April 2024. No hours devoted to this outside business during securities trading hours. (2) NAME OF ENTITY: Westchester Academy of International Studies Parent Teacher Association ADDRESS: 901 Yorkchester Drive, Houston, TX, 77079 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: 01/04/2024 CAPACITY: Committee Chair DUTIES: Committee Chair for the Taste of WAIS, which is the school's international food festival. I am responsible for organizing the event/entertainment and managing the volunteers, etc. for the event. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours

Exams

• S63 Uniform Securities Agent State Law Examination
  1996-11-01

Other Names

• Lynn D. Law
• Lynn Dae Law
• Lynn D Thompson