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Dawn Janene Mclaughlin

Rbc Capital Markets, LLC

Indianapolis, IN

Noblesville, IN

CRD 1559096

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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

AuthorityCategoryStatusDate
IN RA APPROVED 2009-07-23
TX RA APPROVED 2009-07-23
  • IN RA
    APPROVED
    Since 2009-07-23
  • TX RA
    APPROVED
    Since 2009-07-23

Branch Locations

8888 Keystone Crossing Suite 200, Indianapolis, IN 46240-4610 • United States

Noblesville, IN • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Rbc Capital Markets Corporation Indianapolis IN 07/2009 Present
  • 07/2009 → Present
    Rbc Capital Markets Corporation
    Indianapolis, IN
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-08-22
S63 Uniform Securities Agent State Law Examination 1986-10-15
  • S65 Uniform Investment Adviser Law Examination
    2000-08-22
  • S63 Uniform Securities Agent State Law Examination
    1986-10-15
Other Names
  • Dawn J Mclaughlin
  • Dawn Forbis

View on SEC IAPD

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