David Charles 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

• 03/2009 → Present
  Rbc Capital Markets, Llc
  Newport Beach, CA
• 06/2017 → Present
  City National Bank
  Newport Beach, CA

Previous Registrations

• 1999-10-18 → 2009-03-05
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Laguna Hills, CA
  Irvine, CA

Other Businesses

(1) PT PROPERTIES; ADDRESS: 1474 LAUSE ROAD, BULHEAD CITY, AZ, 86442; NOT INVESTMENT RELATED; DESCRIPTION: LLC; CAPACITY: OWNER-ACTIVE; START DATE: 1/1/2019; DUTIES: WE OWN A VACATION HOME TOGETHER AND HAVE TO MANAGER THE DAY-TO-DAY CARE TAKING OF THE PROPERTY; HOURS PER MONTH: 2; SECURITIES HOURS: 0. (2) Name of business: Rental Properties Description: Rental Property investment-related: no Address:1952 Grenada & 701 Malibu Bullhead City, AZ 86442 (WILL BE HELD IN PT PROPERTIES LLC) Capacity:Owner - Active Start Date: 06/24/19 Duties:25% Owner and manager of rental property Hours per month: 2 securities hours: 0 (3) NAME OF ENTITY: Rental Property ADDRESS: 1769 Forest Dr. Bullhead City AZ 86442 INVESTMENT RELATED: No DESCRIPTION: Rental Property CAPACITY: Owner - Active START: 06/15/20 DUTIES: Property management HOURS PER MONTH: 1 SECURITIES HOURS: 0 (4) NAME OF ENTITY: Rental Property INVESTMENT RELATED: No DESCRIPTION: Rental Property CAPACITY: Owner - Active START DATE: 06/12/20 DUTIES: Property management HOURS PER MONTH: 2 SECURITIES HOURS: 0 (5) Name: Rental Property Address: 2381 E. Carver Ave Bullhead City, AZ 86442 Description: Rental Investment related: No Projected Start Date: 10/01/20 Capacity: Owner - Active Duties Performed: Property Management per Month: 2 business hours: 0 (6) NAME OF ENTITY: SWAN Property Management. ADDRESS: 26 Las Fieras RSM, CA 92688; INVESTMENT RELATED: No BUSINESS DESCRIPTION: Rental Properties; CAPACITY: Owner/Active START DATE: 02/01/2021 DUTIES: Investment into rentals and overseeing property manager HOURS PER MONTH: 0 SECURITIES HOURS: 0 (7) NAME OF ENTITY: N/A. ADDRESS: 4767 Kelli Lane, Kingman AZ; INVESTMENT RELATED: 0 BUSINESS DESCRIPTION: Rental Property CAPACITY: Owner/Active; START DATE: 02/01/2021; DUTIES: Property Management HOURS PER MONTH: 0 SECURITIES HOURS: 0 (8)NAME OF ENTITY: SWAN Property Management LLC; ADDRESS: 1900 Colorado Blvd. Bullhead City, AZ 86442; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Rental Property; CAPACITY: Owner/Active; START DATE: 02/05/2021; DUTIES: Investment and property management. Collection of rent; HOURS PER MONTH: 1 SECURITIES HOURS: 0 (9) Name: Rental Property Address: 1163 Linda Vista Bullhead City, AZ 86442 Business Description: Rental Property Business is not investment related Projected Start Date: 02/24/21 Capacity: Owner - Active Duties Performed: Property Management Hours per Month: 2 Business hours: 0 (10)NAME OF ENTITY: P_T Properties ADDRESS: Personal Residence INVESTMENT RELATED: 0 BUSINESS DESCRIPTION: Master LLC for rentals; CAPACITY: Owner/Active; START DATE: 8/19/18; DUTIES: Property management and purchase of additional rentals; HOURS PER MONTH: 2 SECURITIES HOURS: 0 (11) NAME OF ENTITY: SWAN LLC rental - Sea Breeze 1946 Sea Breeze ln., Bullhead City, AZ 86442 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Rental property CAPACITY: Owner - Active START DATE: 6/2/21 DUTIES: Rental ownership directing repairs, maintenance, and oversight of property management company HOURS DEVOTED 0 12) Rental Property - Equity Trust 1963 Surf and Sand Dr. Bullhead City, AZ 86442 No Rental Property Owner -Passive 3/25/22 Owner of rental property. We have property manager to handle day to day activities but periodically write checks for repairs on rentals 0-0 13) Rental Property - 2549 Via Arroyo 2549 Via Arroyo Bullhead City, AZ 86442 No Rental Property Owner-Active 12/1/22 Investor in Rental property and oversight of Onsight property manager 0-0 14.) Rental Property-Equity Trust 3974 E. Shaffer Kingman, AZ 86409 No Rental Property Owner-Passive 2/28/23 Investor in rental property. We have property manager for day-to-day management & operations 1 - 0 15) ENTITY: SWAN Property Group 1821 Forest Dr. Bullhead City AZ, 86442 No Rental Property 01.23.24 Owner - Passive DUTIES: property manager of day to day. Passive investor but occasionally need to be involved on major items 2 / 0

Exams

• S66 Uniform Combined State Law Examination
  1999-08-25

Other Names

• David C Thompson