Michael C. Nolan
RBC CAPITAL MARKETS | Managing Director
Conshohocken, PA 19428-2000
Some features on this profile are disabled
CRD#: 1082281
Professional summary
Michael C Nolan, CFA, who also goes by Michael Clarence Nolan, Michael Nolan, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Conshohocken, Pennsylvania.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Michael has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 3 and Series 7 exams.
Question & Answer
What are your service offerings?
Loans/credit services
Financial planning
Trust & estate planning
Trading individual securities
Philanthropic services
Retirement planning
What is your current number of clients?
Under 100
What is your minimum asset requirement?
3M
Are you a "fiduciary"?
Yes
Aliases
Michael Clarence Nolan | Michael Nolan
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.
Entity Name: Philadelphia Society for Promoting Agriculture Investment related: No "Address: c/o President Scott Sheely 140 Waypoint Drive Lancaster, PA 19425 " Nature of the other business: Agricultural Position/Title/Relationship: Employee/Contractor Start Date: 06/01/2022 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 "Briefly describe your duties: non profit promoting agricultural interests in the greater Philadelphia area I would be a substitute/Assistant Treasurer NOT A MEMBER OF THE BOARD OF DIRECTORS: I AM ONLY A MEMBER OF THIS NON PROFIT ENTITY, NOT a Board Member. " Entity Name: Hearing Health Foundation Investment related: Yes Address: 363 New York, NY Nature of the other business: Private funder of hearing research, to prevent and cure hearing loss Position/Title/Relationship: Director Start Date: 06-Nov-2014 Approximate # of hours a month: 4 Approximate # of hours during securities trading hours: 1 Briefly describe your duties: Board Member Entity Name: Little Hollow Farm Investment related: No Address: 1161 Genoa, NY Nature of the other business: farming and forestry Position/Title/Relationship: Sole Proprietor Start Date: 07-Jul-2014 Approximate # of hours a month: 4 Approximate # of hours during securities trading hours: 1 Briefly describe your duties: 1) owner 2) manager 4) NAME OF ENTITY: Little Hollow Farm and SPV Holdings ADDRESS: 1161 Bruton Road Genoa, NY 13071 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Agricultural operations CAPACITY: Owner - Active START DATE: 09.01.88 DUTIES: Managing the properties and leasing to local farmers PER MONTH: 2; SECURITIES HOURS: 0
CRS (Client Relationship Summary) - RIA
Click below to view Michael C Nolan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael C Nolan's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
September 20, 2022 - Present
RBC CAPITAL MARKETS, LLC
Office #1: Six Tower Bridge 181 Washington Street Suite 500, Conshohocken, PA, 19428-2000Office #3: 1211 Avenue Of The Americas Suite 3300, New York, NY 10036RIA
BD
CRD#: 31194
Conshohocken, PA
Current
September 20, 2022 - Present
RBC CAPITAL MARKETS, LLC
Office #1: Six Tower Bridge 181 Washington Street Suite 500, Conshohocken, PA, 19428-2000Office #2: 1211 Avenue Of The Americas Suite 3300, New York, NY 10036RIA
BD
CRD#: 31194
Conshohocken, PA
Past
October 26, 2006 - December 1, 2022
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
PHILADELPHIA, PA
Past
June 21, 2002 - October 17, 2002
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
PHILADELPHIA, PA
Past
August 14, 1991 - December 1, 2022
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
PHILADELPHIA, PA
Past
June 19, 1984 - August 6, 1991
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
January 19, 1983 - June 8, 1984
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
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".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(12/5/2022)
RR
Arizona(9/20/2022)
RR
California(9/21/2022)
RR
Colorado(9/20/2022)
RR
Connecticut(9/20/2022)
RR
Delaware(10/12/2022)
RR
District of Columbia(9/20/2022)
RR
Florida(9/20/2022)
RR
Georgia(9/20/2022)
RR
Hawaii(9/21/2022)
RR
Idaho(9/21/2022)
RR
Illinois(9/29/2022)
RR
Indiana(9/21/2022)
RR
Iowa(9/20/2022)
RR
Kansas(9/20/2022)
RR
Kentucky(9/20/2022)
RR
Louisiana(9/20/2022)
RR
Maine(9/20/2022)
RR
Maryland(9/20/2022)
RR
Massachusetts(9/20/2022)
RR
Michigan(9/20/2022)
RR
Minnesota(1/11/2023)
RR
Missouri(9/20/2022)
RR
Montana(9/20/2022)
RR
Nevada(9/20/2022)
RR
New Hampshire(9/20/2022)
RR
New Jersey(9/20/2022)
RR
New Mexico(9/20/2022)
RR
New York(9/20/2022)
IAR
New York(10/21/2022)
RR
North Carolina(9/20/2022)
RR
Ohio(9/20/2022)
RR
Oregon(9/20/2022)
RR
Pennsylvania(9/20/2022)
IAR
Pennsylvania(9/20/2022)
RR
Rhode Island(9/20/2022)
RR
South Carolina(9/20/2022)
RR
Tennessee(9/20/2022)
RR
Texas(9/20/2022)
IAR
Texas(9/20/2022)
RR
Utah(9/20/2022)
RR
Vermont(9/20/2022)
RR
Virgin Islands(9/20/2022)
IAR
Virgin Islands(9/27/2022)
RR
Virginia(9/20/2022)
RR
Washington(9/20/2022)
RR
Wisconsin(9/20/2022)
RR
Wyoming(9/20/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 12/29/1987
Foreign Currency Options ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
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
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 | ||
| 08/27/2024 | ||
| 09/14/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
RBC CAPITAL MARKETS, LLC
Managing DirectorCRD#: 31194Conshohocken, PA 19428-2000TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
