Thomas R Wahl

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
NY	RA	APPROVED	2021-08-06
FL	RA	APPROVED	2014-11-20
TX	RA	APPROVED_RES	2014-10-30

NY RA
APPROVED

Since 2021-08-06
FL RA
APPROVED

Since 2014-11-20
TX RA
APPROVED_RES

Since 2014-10-30

Branch Locations

Wilton Manors, FL • United States

80 Linden Oaks Suite 220, Rochester, NY 14625-2809 • 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
Rbc Capital Markets, Llc	Rochester	NY	10/2014	Present

10/2014 → Present

Rbc Capital Markets, Llc

Rochester, NY

Previous Registrations

2013-07-03 → 2014-11-13

Morgan Stanley

Rochester, NY

Wilton Manors, FL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2013-07-01
S63	Uniform Securities Agent State Law Examination	1986-06-04

S65 Uniform Investment Adviser Law Examination

2013-07-01
S63 Uniform Securities Agent State Law Examination

1986-06-04

Other Names

Thomas Raymond Jr Wahl
Thomas Raymond Wahl
Thomas R Wahl Jr
Thomas R Wahl
Thomas R Wahl Jr.

View on SEC IAPD