KC
Kevin L. Clift
RBC CAPITAL MARKETS
Naples, FL
Some features on this profile are disabled
CRD#: 1288936
KC
Professional summary
Kevin Len Clift, CIMA®, who also goes by Kevin Clift, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Naples, Florida.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Kevin has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kevin Clift
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. KCLM LLC, CO OWNER; START DATE: 01/2016; DURING BUSINESS HOURS- 0, AFTER BUSINESS HOURS- 3; KERENS, TX; INVESTMENT RELATED. (2) Name of business: Uptown 1 Business Description: Rental Property Whether the business is investment-related:no Address: 2916 Thomas Ave. Dallas, TX 75206 Capacity:Sole Proprietor Start Date:06/01/15 Duties:provide maintenance Hours devoted per month: 1 Hours devoted during securities hours per month: 0 (3) Name of Entity - KCLM LLC Address - 622 Bayview Dr. Kerens, Texas 75140 Business Description - Investment property Business is not investment related Projected Start Date: 01/01/2016 Capacity: Owner - Active Duties Performed: Maintenance Hours Devoted to this OBA per Month: 1Hour Hours Devoted to this OBA during business hours: 1 (4) NAME OF ENTITY: Bayview Country Estates Inc; ADDRESS: 2921 Hallsville St Dallas, TX 75201; NOT INVESTMENT RELATED BUSINESS DESCRIPTION: For profit corporation that owns six lots of land only; CAPACITY: Owner - Passive, Director; START DATE: 06/2019; DUTIES: This is a passive investment of 6 empty lots with no plans to develop; HOURS DEVOTED PER MONTH: 0; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0; (5) NAME OF ENTITY: Huron in Florida 1 LLC; ADDRESS: 2921 Hallsville St Dallas, TX 75204; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Condo rented by third party; CAPACITY: Owner - Passive; START DATE: 02/2020; DUTIES: Purchase condo and have hotel manage it; HOURS DEVOTED PER MONTH: 2; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0; (6) Name: Huron in Florida 2 LLC Address: 985 sandpiper St. #D-206 Naples, FL 34102 Business Description: Huron in Florida 2 LLC Business is not investment related Projected Start Date: 09/16/20 Capacity: Sole Proprietor Duties Performed: buy renovate and lease the property Devoted to this OBA per Month: 1 hour Hours Devoted to this OBA during business hours: 0 (7) NAME OF ENTITY: Huron in Florida 3; ADDRESS: 7935 mahogany run lane #725; 7950 mahogany run lane #422; 7880 Mahogany run lane #1611; 7915 Mahogany run lane #'s 1125, # 1115 and #1111 Naples FL 34113 NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: condominium-rental; CAPACITY: Owner/Active; START DATE: 04/06/2021; DUTIES: Owner/Operator; HOURS DEVOTED PER MONTH: 1-2; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE;
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Len Clift's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kevin Len Clift'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
June 14, 2019 - Present
RBC CAPITAL MARKETS, LLC
Office #3: 100 Crescent Court Suite 1500, Dallas, TX 75201-1871RIA
BD
CRD#: 31194
Naples, FL
Current
June 14, 2019 - Present
RBC CAPITAL MARKETS, LLC
Office #2: 100 Crescent Court Suite 1500, Dallas, TX 75201-1871RIA
BD
CRD#: 31194
Naples, FL
Past
June 1, 2009 - June 18, 2019
MORGAN STANLEY
RIA
CRD#: 149777
DALLAS, TX
Past
June 1, 2009 - June 18, 2019
MORGAN STANLEY
BD
CRD#: 149777
DALLAS, TX
Past
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
SOUTHLAKE, TX
Past
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
SOUTHLAKE, TX
Past
February 15, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
January 17, 1986 - February 15, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
August 22, 1984 - December 21, 1985
FIRST JERSEY SECURITIES, INC.
BD
CRD#: 6621
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(6/14/2019)
RR
Arkansas(1/14/2020)
RR
California(11/11/2020)
RR
Colorado(9/19/2024)
RR
Delaware(6/14/2019)
RR
Florida(6/14/2019)
IAR
Florida(4/4/2024)
RR
Georgia(6/14/2019)
RR
Hawaii(10/21/2025)
RR
Louisiana(6/14/2019)
RR
Maryland(6/14/2019)
RR
Michigan(6/14/2019)
RR
Mississippi(6/14/2019)
RR
Missouri(6/14/2019)
RR
New Mexico(6/14/2019)
RR
New York(7/16/2024)
RR
North Carolina(7/31/2025)
RR
Ohio(11/13/2023)
RR
Oklahoma(6/14/2019)
RR
Texas(6/14/2019)
IAR
Texas(6/14/2019)
Exams
State Security Law Exam
State Security Law 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.
