Lawrence Scott Pann

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

• 04/2009 → 08/2019
  Ubs Financial Services Inc
  Colorado Springs, CO
• 08/2019 → Present
  Rbc Capital Markets, Llc.
  Colorado Springs, CO
• 11/2019 → Present
  City National Bank
  Colorado Springs, CO

Previous Registrations

• 2009-04-21 → 2019-09-02
  Ubs Financial Services Inc.
  Colorado Springs, CO
  Monument, CO
• 2001-02-27 → 2009-05-12
  Citigroup Global Markets Inc.
  Colorado Springs, CO
  Colorado Springs, CO

Other Businesses

(1) The Colorado Springs LDS Business Group, a BYU Management Society Chapter / 17345 Colonial Park Drive Monument,Colorado 80132 / Other/ Education / Educational events to promote best business practices / Officer / / President - run the organization / Start Date1/13/16 Charitable educational organization / 30 minutes/Douglas Robinson for Governor of Colorado / Englewood United States,Colorado / No/ November 2018 Duties of the governor of Colorado / No / Other / Campaign helper / Hold a campaign event at my home, help with fundraising, help with other campaigning activities / Start Date 4/13/2017/End Date 12/13/2018/Elected No / No (2) Name of Business: Smart Colorado Business Description: Youth drug education Business is investment-related: no Address: Denver, CO Capacity: Community advisory board Start Date: 08/28/19 Duties: Assist the board leadership in organizing events. Hours devoted per month: 2 Hours devoted during securities hours per month: 0

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-12-12
• S63 Uniform Securities Agent State Law Examination
  1986-03-27

Other Names

• Lawrence Scott Pann
• L. S Pann
• L. Scott Pann
• Lawrence Scott Scott Pann