Dale A. Luce

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CRD#: 1054337

Professional summary

Dale Anne Luce was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Dale is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Dale had worked at 5 firms, which includes RBC CAPITAL MARKETS LLC, UBS FINANCIAL SERVICES INC., KIDDER PEABODY & CO. INCORPORATED, FINANCIAL SQUARE PARTNERS, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.

Question & Answer

Are you a "fiduciary"?

Aliases

Dale A Luce

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 18, 2008 - November 4, 2016

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

SUGAR LAND, TX

Past

April 18, 2008 - November 4, 2016

RBC CAPITAL MARKETS, LLC

CRD#: 31194

SUGAR LAND, TX

Past

January 28, 1995 - April 29, 2008

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SUGAR LAND, TX

Past

January 28, 1995 - April 29, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SUGAR LAND, TX

Past

March 14, 1991 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

November 26, 1990 - March 12, 1991

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

February 4, 1986 - February 6, 1990

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

March 5, 1984 - October 22, 1985

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

May 20, 1983 - February 24, 1984

FINANCIAL SQUARE PARTNERS

CRD#: 1541

Past

July 22, 1982 - June 3, 1983

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RBC CAPITAL MARKETS, LLC

CRD#: 31194 / SEC#: 801-13059, 8-45411

RIA

Registered Investment Advisory firm - SEC (6/2/1977 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/8/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/4/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/17/1982

General Securities Representative Examination

Current Firm

RBC CAPITAL MARKETS, LLC

CRD#: 31194 / SEC#: 801-13059, 8-45411

RIA

Registered Investment Advisory firm - SEC (6/2/1977 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

200 Vesey St., New York, NY 10281

Mailing Address

250 Nicollet Mall Suite 1600, Minneapolis, MN 55401

Phone number

(612) 371-2811

Established

Minnesota since 11/01/2010

Firm type

Limited Liability Company

Fiscal year end

October

Firm Size

Large

# of Employees

8,476

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

RBC FINANCIAL PLANNING DISCLOSURE DOCUMENT (9/30/2025)

RBC CLEARING AND CUSTODY ADVISORY PROGRAMS DISCLOSURE DOCUMENT (9/30/2025)

RBC INSTITUTIONAL CONSULTING DISCLOSURE DOCUMENT (9/30/2025)

ADVISORY PROGRAMS DISCLOSURE DOCUMENT (9/30/2025)

Direct owners and executive officers

Name	Position	CRD#
RBC USA HOLDCO CORPORATION	DIRECT OWNER
CARLESIMO, PAUL ADAM	CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S.	4718504
ESPENAK, KRISTEN ELIZABETH	CHIEF RISK OFFICER, USA	5570750
GIEGERICH, ROBERT ARTHUR	PRINCIPAL FINANCIAL OFFICER	5736294
GLASSMAN, DORJE TSERING	CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP	6568226
LISCHIN, MATTHEW CODY	CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP	4974723
O'CONNOR, SEAN WALTER	CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S.	6578918
PENN, JOHN CHRISTOPHER	GENERAL COUNSEL	5135403
SAGISSOR, THOMAS STEVEN	PRESIDENT OF RBC WEALTH MANAGEMENT	2429425
SCHREINER, CINDY LOUISE	US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER	1470050
SPERDUTO, VITO ANTONIO	DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD	2524961
THORNE, BRETT LANE	PRESIDENT, RBC CLEARING & CUSTODY	2523268
THURLOW, JOHN J	CHIEF OPERATING OFFICER	5726613

Regulatory assets under management

Total Number of Accounts	477,674
AUM (Assets Under Management)	$ 259,962,335,074

Disclosures

Regulatory Event	364
Civil Event	3
Arbitration	114
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
08/27/2024	Cover Page	Report
09/14/2023	Cover Page	Report

Red Flags

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Firm Stability Insights

Dale A. Luce

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RBC CAPITAL MARKETS, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

KIDDER, PEABODY & CO. INCORPORATED

UBS FINANCIAL SERVICES INC.

KIDDER, PEABODY & CO. INCORPORATED

UBS FINANCIAL SERVICES INC.

FINANCIAL SQUARE PARTNERS

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

RBC CAPITAL MARKETS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/8/1983

SIE

Date: 11/4/2016

Series 7

Date: 7/17/1982

Current Firm

RBC CAPITAL MARKETS, LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

RBC CAPITAL MARKETS, LLC

TRUST BUT VERIFY

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