Thomas W. Van Dyck
RBC CAPITAL MARKETS | Managing Director - Financial Advisor
San Rafael, CA
Some features on this profile are disabled
CRD#: 1225822
Professional summary
Thomas William Van Dyck, CIMA®, who also goes by Thomas William Vandyck, Tom Vandyck, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in San Rafael, California.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Thomas has worked at 5 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
What are your service offerings?
Financial planning
Executive services/Equity comp...
Philanthropic services
Trust & estate planning
Loans/credit services
Institutional consulting
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
5M
Are you a "fiduciary"?
Yes
Aliases
Thomas William Vandyck | Tom Vandyck
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) AS YOU SOW; ADDRESS: 1611 TELEGRAPH AVE SUITE 1450 OAKLAND, CA 94612; BUSINESS DESCRIPTION: NON-PROFIT CORPORATE RESPONSIBILITY; NOT INVESTMENT RELATED; START DATE: 06/01/1992; CAPACITY: BOARD OF DIRECTORS; DUTIES: BOARD MEMBER, FUNDRAISING, STRATEGY, VISIONARY; HOURS DEVOTED PER WEEK: LESS THAN 4; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0
(2) NAME OF ENTITY: RENTAL PROPERTY;
ADDRESS: PERSONAL RESIDENCE;
NOT INVESTMENT RELATED;
BUSINESS DESCRIPTION: RENTAL PROPERTY;
CAPACITY: OWNER-ACTIVE;
START DATE: 10/2019;
DUTIES: RENTAL PROPERTY UPKEEP;
HOURS DEVOTED PER MONTH: 1;
HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0;
(3) As You Sow1611 Telegraph Avenue, Suite 1450 Oakland, CA 94612 Non-profit B Corporate Responsibility06/01/92 YesWe provide an investment tool for educational purposes as the disclaimer on the website clearly states. Board of Directors *Board member, fundraising, strategy, creates a vision business plan that the non-profit executes on. less than 4 hours week0
CRS (Client Relationship Summary) - RIA
Click below to view Thomas William Van Dyck's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas William Van Dyck'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
August 25, 2006 - Present
RBC CAPITAL MARKETS, LLC
Office #2: 345 California Street, San Francisco, CA 94104-2642RIA
BD
CRD#: 31194
San Rafael, CA
Current
August 25, 2006 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 345 California Street, San Francisco, CA 94104-2642RIA
BD
CRD#: 31194
San Francisco, CA
Past
August 12, 2006 - September 5, 2006
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
SAN FRANCISCO, CA
Past
August 12, 2006 - September 5, 2006
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
SAN FRANCISCO, CA
Past
June 17, 1998 - August 12, 2006
PIPER SANDLER & CO.
RIA
CRD#: 665
SAN FRANCISCO, CA
Past
May 14, 1997 - August 12, 2006
PIPER SANDLER & CO.
BD
CRD#: 665
SAN FRANCISCO, CA
Past
March 10, 1988 - May 12, 1997
EQIS SECURITIES, LLC
BD
CRD#: 20633
SAN RAFAEL, CA
Past
January 25, 1984 - January 16, 1988
MORGAN STANLEY DW INC.
BD
CRD#: 7556
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(8/4/2014)
RR
Arizona(10/28/2014)
RR
California(8/25/2006)
IAR
California(8/25/2006)
RR
Colorado(8/25/2006)
RR
Connecticut(8/25/2006)
RR
Delaware(12/5/2008)
RR
District of Columbia(8/25/2006)
RR
Florida(8/25/2006)
RR
Georgia(10/15/2010)
RR
Hawaii(10/2/2007)
RR
Illinois(5/13/2015)
RR
Indiana(10/23/2025)
RR
Maine(8/25/2006)
RR
Maryland(8/25/2006)
RR
Massachusetts(8/25/2006)
RR
Michigan(2/3/2016)
RR
Minnesota(8/25/2006)
RR
Missouri(7/13/2021)
RR
Montana(7/3/2007)
RR
Nevada(8/3/2020)
RR
New Jersey(8/25/2006)
RR
New Mexico(8/25/2006)
RR
New York(8/25/2006)
RR
North Carolina(8/25/2006)
RR
Ohio(7/1/2010)
RR
Oregon(8/25/2006)
RR
Pennsylvania(8/25/2006)
RR
Rhode Island(9/22/2021)
RR
South Carolina(10/20/2021)
RR
Tennessee(3/24/2009)
RR
Texas(8/25/2006)
IAR
Texas(8/25/2006)
RR
Utah(2/14/2013)
RR
Vermont(12/9/2019)
RR
Virginia(8/25/2006)
RR
Washington(8/24/2006)
RR
Wisconsin(1/10/2014)
RR
Wyoming(5/12/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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 Director - Financial AdvisorCRD#: 31194San Rafael, CATRUST BUT VERIFY
Monitor Thomas Van Dyck
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
