Lisa Dawn Nekrich

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

• 12/2014 → Present
  Rbc Capital Markets, Llc
  Westport, CT

Previous Registrations

• 2003-08-07 → 2014-12-16
  Janney Montgomery Scott Llc
  Fairfield, CT
  Fairfield, CT

Other Businesses

NAME OF ENTITY: Willow Ridge Condo Association ADDRESS: 3200 Madison Avenue Bridgeport CT 06606 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Condominium Board CAPACITY: Other, Board member of condo association START DATE: 11/01/21 DUTIES: non-managing partner HOURS DEVOTED PER MONTH: 0.5 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams

• S65 Uniform Investment Adviser Law Examination
  2003-08-06
• S63 Uniform Securities Agent State Law Examination
  2002-03-27