BD
Brenda S. Dixon
RBC CAPITAL MARKETS
Boulder, CO 80302-5342
Some features on this profile are disabled
CRD#: 1111985
BD
Professional summary
Brenda Stokes Dixon, who also goes by Brenda S Dixon, Brenda Kay Stokes, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Boulder, Colorado.
Brenda is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Brenda has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brenda S Dixon | Brenda Kay Stokes
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.
(1) NORTHWOODS CLUB INVESTMENT COMMITTEE; ADDRESS: PO BOX 12 MINERVA, NY 11111; BUSINESS DESCRIPTION: COMMITTEE TO MANAGE ASSETS OF CLUB; NOT INVESTMENT RELATED; START DATE: 01/01/2004; CAPACITY: COMMITTEE/COUNCIL MEMBER/INDEPENDENT CONTRACTOR/CONSULTANT; DUTIES: HELP DIRECT USE OF FUNDS IN ENDOWMENT ACCOUNT, GIVE AN OCCASIONAL OPINION ON EQUITIES/BONDS IN ENDOWMENT FUND; HOURS DEVOTED PER WEEK: 0; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0
(2) CPD LLC;
ADDRESS: PERSONAL RESIDENCE;
NOT INVESTMENT RELATED;
BUSINESS DESCRIPTION: LLC ESTABLISHED FOR DIXON FAMILY ESTATE PLANNING PURPOSES;
CAPACITY: MANAGER;
START DATE: 06/13/2011;
DUTIES: MANAGE THE ENTITY BY PROVIDING TAX REPORTING INFORMAITON, OTHER RELEVANT CASH FLOW DECISIONS AS THEY ARISE. CLIENT MAKES INVESTMENT DECISIONS AND DIRECTS DISBURSMENTS TO BE AUTHORIZED BY MANAGER;
HOURS DEVOTED PER MONTH: .025;
HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 00;
(3) Address - 1366 Northridge Court Boulder CO 80304
Business Description - Homeowner's Association
Business is not investment related
Projected Start Date: 03/09/20
Capacity: Board of Directors
Duties Performed: Attend board meetings, vote on board initiatives
Hours Devoted to this OBA Per Month: 15 minutes
Hours Devoted to this OBA during business hours: 0
CRS (Client Relationship Summary) - RIA
Click below to view Brenda Stokes Dixon's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brenda Stokes Dixon'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®
NoneExperience
Current
January 1, 1999 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 1801 13th Street Suite 310, Boulder, CO 80302-5342RIA
BD
CRD#: 31194
Boulder, CO
Current
March 2, 1998 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 1801 13th Street Suite 310, Boulder, CO 80302-5342RIA
BD
CRD#: 31194
Boulder, CO
Past
March 2, 1990 - March 2, 1998
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
September 19, 1983 - June 19, 1985
HARVEST EQUITIES INCORPORATED
BD
CRD#: 13415
Past
September 19, 1983 - March 12, 1990
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
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
Alaska(3/2/1998)
RR
Arizona(3/2/1998)
RR
California(3/2/1998)
RR
Colorado(3/2/1998)
IAR
Colorado(1/1/1999)
RR
Connecticut(2/25/2016)
RR
District of Columbia(1/24/2014)
RR
Florida(3/2/1998)
RR
Georgia(3/16/2022)
RR
Hawaii(3/2/1998)
RR
Idaho(12/11/2006)
RR
Illinois(10/30/2006)
RR
Indiana(3/2/1998)
RR
Iowa(10/22/2018)
RR
Maryland(1/9/2001)
RR
Massachusetts(3/2/1998)
RR
Michigan(8/13/2021)
RR
Minnesota(3/2/1998)
RR
Missouri(3/2/1998)
RR
Montana(7/22/2020)
RR
Nebraska(10/12/1998)
RR
Nevada(8/13/2014)
RR
New Hampshire(1/19/2016)
RR
New Jersey(3/2/1998)
RR
New Mexico(4/12/2000)
RR
New York(3/2/1998)
RR
North Carolina(3/2/1998)
RR
Ohio(11/28/2022)
RR
Oklahoma(3/2/1998)
RR
Oregon(3/2/1998)
RR
Pennsylvania(3/2/1998)
RR
South Carolina(11/20/2015)
RR
South Dakota(8/3/2004)
RR
Texas(3/2/1998)
IAR
Texas(2/19/2010)
RR
Utah(2/5/2014)
RR
Vermont(3/1/2018)
RR
Virginia(3/2/1998)
RR
Washington(5/16/2014)
RR
West Virginia(8/2/2021)
RR
Wisconsin(6/23/2015)
RR
Wyoming(3/2/1998)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General 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
CRD#: 31194Boulder, CO 80302-5342TRUST BUT VERIFY
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Contact information
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