Susan Hawes Stewart

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

• 06/2011 → 01/2019
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Bethesda, MD
• 09/2011 → 01/2019
  Bank Of America, N.A.
  Bethesda, MD
• 01/2019 → Present
  Rbc Capital Markets, Llc.
  Chevy Chase, MD
• 01/2019 → Present
  City National Bank
  Chevy Chase, MD

Previous Registrations

• 2011-06-21 → 2019-01-17
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Bethesda, MD
• 2003-01-09 → 2011-06-21
  Charter Financial Group, Inc.
  Washington, DC
  Bethesda, MD
• 1996-03-12 → 2002-12-17
  Charter Financial Group, Inc.
  Washington, DC

Other Businesses

(1) NAME OF ENTITY: Ursinus College, Board of Trustees ADDRESS: 601 East Main Street Collegeville, PA 19426-1000 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private liberal arts College CAPACITY: Other- Serve on the Board of Trustees START DATE: 07/01/2023 DUTIES: Attend virtual board and committee meetings a 2 in-person meetings. I am not sure which committee I will be asked to serve on so do not know the subject matter or specific duties. HOURS DEVOTED PER MONTH: 15 minutes HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0.15 (2) NAME OF ENTITY: City of Rehoboth Beach, Delaware ADDRESS: 229 Rehoboth Ave, Rehoboth Beach, DE 19971 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Government Institution START DATE: Sep 07, 2026 CAPACITY: Other DUTIES: Mayor HOURS DEVOTED PER MONTH: 16 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 4

Exams

• S63 Uniform Securities Agent State Law Examination
  2010-05-20
• S65 Uniform Investment Adviser Law Examination
  1996-02-22

Other Names

• Susan Hawes
• Susan Elinor Hawes