Thomas Andrew Paulson

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

• 11/2008 → 04/2021
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Lake Forest, IL
• 01/2010 → 04/2021
  Bank Of America, N.A.
  Lake Forest, IL
• 04/2021 → Present
  Rbc Capital Markets, Llc
  Lake Forest, IL
• 05/2021 → Present
  City National Bank
  Lake Forest, IL

Previous Registrations

• 2008-11-21 → 2021-04-30
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Lake Forest, IL
  Longboat Key, FL
  Longboat Key, FL
  St Germain, WI
  Longboat Key, FL
  Longboat Key, FL
  Longboat Key, FL
  Saint Germain, WI
• 2007-04-02 → 2008-12-05
  Morgan Stanley & Co. Llc
  Libertyville, IL
• 1998-06-02 → 2007-04-02
  Morgan Stanley Dw Inc.
  Libertyville, IL
  Libertyville, IL

Other Businesses

I*4158 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: LCP HOLDINGS INVESTMENT RELATED: N ADDRESS OF BUSINESS: 1307 BELVIDERE STREET, WAUKEGAN, ILLINOIS 60079 NATURE OF BUSINESS: PLUMBING SUPPLY, POSITION, TITLE, ASSOCIATION: OFFICER, START DATE OF RELATIONSHIP: 9/1/2004 NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1 DUTIES: I OWN 50% OF THE COMPANY (2) NAME OF ENTITY: Peter Paulson Excellent Foundation ADDRESS: 5055 Gulf of Mexico Drive, longboat Key, FL 34228 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Family Education Foundation for College Scholarships for Students in need CAPACITY: Board of Directors *, Treasurer START DATE: 12/16/2021 DUTIES: Advise the foundation HOURS DEVOTED PER MONTH: 0.5 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-03-09
• S63 Uniform Securities Agent State Law Examination
  1988-01-11

Other Names

• Tom Paulson
• Thomas A Paulson