Bruce A Sandry

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

• 08/2003 → 10/2022
  Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
  Davenport, IA
• 07/2011 → 10/2022
  Bank Of America, N.A.
  Davenport, IA
• 10/2022 → Present
  Rbc Capital Markets, Llc
  Davenport, IA

Previous Registrations

• 2003-09-01 → 2022-10-25
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Davenport, IA
  Davenport, IA
• 1999-01-01 → 2003-09-19
  Citigroup Global Markets Inc.
  Davenport, IA

Other Businesses

(1) I*59213 For profit or not for profit: Non-Profit Organization Name of outside business organization: Qaud City Junior tour Address of business: Davenport, Iowa 52807 Nature of business: Charitable Organization, Position, title, association: Director, Start date of relationship: 12/28/2005 Number of hours devoted: 35 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: I organized, developed and solely run the local junior golf tour. I schedule tournaments, fundraise, provide tee gifts, trophies and misc. other items. The tour has six/seven events per years and affects 125-200 kids in the area. (2) NAME OF ENTITY: Crow Valley Golf Club ADDRESS: 4315 E 60th street Davenport, Iowa 52807 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Golf Club CAPACITY: Director, Board of Directors * START DATE: 10/18/2023 DUTIES: Serve on the board of directors. HOURS DEVOTED PER MONTH: 2 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (3) NAME OF ENTITY: The Hamptons HOA ADDRESS: 1186 Jeffries Road Osage Beach, MO 65065 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Condo Association CAPACITY: Board of Directors * START DATE: 11/01/2015 DUTIES: Make decisions on behalf of the owners within the association with regard to the property.. HOURS DEVOTED PER MONTH: 0.5 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-03-23
• S63 Uniform Securities Agent State Law Examination
  1987-03-24

Other Names

• Bruce Alan Sandry