FD
Frank N. Dolce
RBC CAPITAL MARKETS
Chester, NJ 07930
Some features on this profile are disabled
CRD#: 1241813
FD
Professional summary
Frank N Dolce, who also goes by Francis Neil Dolce, Francis Dolce, Frank N Dolce Sr., Frank N Dolce Sr, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Chester, New Jersey.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Frank has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Francis Neil Dolce | Francis Dolce | Frank N Dolce Sr. | Frank N Dolce Sr
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)LAKE MOHAWK GOLF CLUB, SPARTA, NJ 07871 - INVESTMENT RLT'D - NO, HRS DEVOTED TO ACTIVITY - 4, HRS DURING TRADING - 0, DATE ACTIVITY BEGAN 01/02/12, POSITION - ADVISORY BOARD MEMBER, I AM ON THE BOARD FOR THE LAKE MOHAWK GOLF CLUB. IT IS A PRIVATE GOLF CLUB. WE PLAY GOLF. (2)NAME OF ENTITY: Subsurface Solution; ADDRESS: 2 Cheyenne Trail Sparta, NJ 07871; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Environmental Consulting; CAPACITY: Owner/Passive; START DATE: 02/19/2021; DUTIES: None; HOURS DEVOTED PER MONTH: None; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: None; (3)NAME OF ENTITY: Jerzy Boy Production Inc.; ADDRESS: 2 Cheyenne Trail Sparta, NJ 07871; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Acting Employee Leasing; CAPACITY: Board of Directors; START DATE: 01/01/2021; DUTIES: none simple support for my 24 year old son; HOURS DEVOTED PER MONTH: NONE; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE;
CRS (Client Relationship Summary) - RIA
Click below to view Frank N Dolce's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Frank N Dolce'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
October 24, 2019 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 223 Main Street 2nd Floor, Chester, NJ 07930RIA
BD
CRD#: 31194
Chester, NJ
Current
October 24, 2019 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 223 Main Street 2nd Floor, Chester, NJ 07930RIA
BD
CRD#: 31194
Chester, NJ
Past
September 30, 2005 - October 29, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WAYNE, NJ
Past
September 30, 2005 - October 29, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WAYNE, NJ
Past
May 14, 2002 - October 4, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
ROCKAWAY, NJ
Past
November 22, 1991 - October 4, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
September 9, 1985 - December 16, 1986
CARDELL & ASSOCIATES, INCORPORATED
BD
CRD#: 7700
Past
March 15, 1985 - June 27, 1985
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
Past
June 14, 1984 - August 6, 1984
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
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
Arizona(10/24/2019)
RR
California(10/24/2019)
RR
Colorado(10/24/2019)
RR
Delaware(10/24/2019)
RR
Florida(10/24/2019)
RR
Georgia(10/24/2019)
RR
Maine(10/24/2019)
RR
Michigan(10/24/2019)
RR
New Hampshire(1/6/2023)
RR
New Jersey(10/24/2019)
IAR
New Jersey(10/24/2019)
RR
New York(10/24/2019)
RR
North Carolina(10/24/2019)
RR
Pennsylvania(6/13/2025)
RR
South Carolina(10/24/2019)
RR
Wisconsin(10/24/2019)
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
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 5/15/1997
General Securities Sales Supervisor Examination (Options Module & General Module)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.
