PP
Patrick J. Pfahl
RBC CAPITAL MARKETS
Duluth, MN
Some features on this profile are disabled
CRD#: 1654162
PP
Professional summary
Patrick John Pfahl, who also goes by Pat Pfahl, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Duluth, Minnesota.
Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Patrick has worked at 8 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Pat Pfahl
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) DENALI ENERGY ND-1 LLC; 13954 CYPASS DR, STE 100 BAXTER, MN 56425; NATURE: WIND ENERGY; MY POSITION: 3% OWNER(NON INVESTMENT RELATED); START DATE: 06/2008; 2. REAL ESTATE RENTALS IN ST PETERSBURG, FL, AUSTIN, TX & OSAKIS, MN. 100% OWNER; STARTED IN 1998; DEVOTE LESS THAN 1% OF MY TIME TO BUSINESS; I MANAGE PROPERTY MANAGERS. (2) NAME OF ENTITY: Voyager Area Council of the Boy Scouts of America; ADDRESS: 3877 Stebner Rd Duluth, MN 55811; NOT INVESTMENT RELATED: BUSINESS DESCRIPTION: Youth Leadership Training; CAPACITY: Board of Directors; START DATE: 04/01/2021; DUTIES: As a board member in the Boy Scouts Voyager Area Council I am a fiduciary that helps steer the organization towards a sustainable future by adopting sound, ethical, and legal governance and financial management policies, as well as by making sure the nonprofit has adequate resources to advance its mission; HOURS DEVOTED PER MONTH: 01; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: None;
CRS (Client Relationship Summary) - RIA
Click below to view Patrick John Pfahl's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Patrick John Pfahl'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
December 19, 2016 - Present
RBC CAPITAL MARKETS, LLC
Office #2: 1420 London Road Suite 201, Duluth, MN 55805-2425RIA
BD
CRD#: 31194
Duluth, MN
Current
January 27, 2017 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 1420 London Road Suite 201, Duluth, MN 55805-2425RIA
BD
CRD#: 31194
Duluth, MN
Past
October 4, 2011 - July 17, 2012
BIRCHTREE FINANCIAL SERVICES LLC
BD
CRD#: 15014
DULUTH, MN
Past
September 21, 2011 - November 4, 2016
CHOREO, LLC
RIA
CRD#: 111221
DULUTH, MN
Past
November 10, 2010 - August 16, 2011
BLUE WATER CAPITAL ADVISORS, LLC
RIA
CRD#: 148933
DULUTH, MN
Past
November 11, 2008 - December 24, 2009
STATE FARM VP MANAGEMENT CORP.
BD
CRD#: 43036
BLOOMINGTON, IL
Past
June 15, 2004 - November 2, 2006
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
BLOOMINGTON, MN
Past
December 22, 1999 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
HOUSTON, TX
Past
December 22, 1999 - November 2, 2006
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
BLOOMINGTON, MN
Past
February 18, 1999 - April 27, 1999
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
HOUSTON, TX
Past
April 18, 1991 - April 27, 1999
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
HOUSTON, TX
Past
April 29, 1987 - May 28, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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(7/8/2024)
RR
Arizona(7/15/2022)
RR
California(6/13/2017)
RR
Colorado(5/15/2017)
RR
Delaware(1/12/2021)
RR
Florida(2/16/2017)
RR
Georgia(9/1/2022)
RR
Idaho(8/3/2018)
RR
Illinois(9/6/2022)
RR
Indiana(5/13/2024)
RR
Iowa(9/1/2022)
RR
Kansas(2/14/2025)
RR
Louisiana(8/30/2022)
RR
Maine(8/4/2021)
RR
Maryland(8/2/2023)
RR
Massachusetts(8/30/2022)
RR
Michigan(2/17/2017)
IAR
Minnesota(12/19/2016)
RR
Minnesota(1/31/2017)
RR
Montana(2/16/2017)
RR
Nebraska(4/7/2025)
RR
New York(1/4/2024)
RR
North Dakota(4/5/2021)
RR
Ohio(4/7/2017)
RR
Oregon(8/6/2021)
RR
Pennsylvania(8/31/2022)
RR
Tennessee(1/9/2024)
IAR
Texas(7/19/2017)
RR
Texas(7/25/2017)
RR
Washington(8/8/2017)
RR
Wisconsin(2/16/2017)
Exams
State Security Law Exam
State Security Law 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.
