VF
Vance L. Falbaum
RBC CAPITAL MARKETS
TUCSON, AZ
Some features on this profile are disabled
CRD#: 1810310
VF
Professional summary
Vance Leonard Falbaum, CIMA® is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Tucson, Arizona.
Vance is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Vance has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) BOYS & GIRLS CLUB OF TUCSON; ADDRESS: PO BOX 11188 TUCSON, AZ 85726; BUSINESS DESCRIPTION: NOT FOR PROFIT; NOT INVESTMENT RELATED; START DATE: 03/01/1988; CAPACITY: BOARD OF DIRECTORS; DUTIES: SET POLICY AND FUND THAT POLICY THROUGH FUNDRAISING EFFORTS; HOURS DEVOTED PER WEEK: 2.5; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 2.5 (2) SALPOINTE CATHOLIC HIGH SCHOOL; ADDRESS: 1545 E COPPER ST TUCSON, AZ 85719; BUSINESS DESCRIPTION: PRIVATE CATHOLIC HIGH SCHOOL; NOT INVESTMENT RELATED; START DATE: 09/16/2015; CAPACITY: COMMITTEE/COUNCIL MEMBER; DUTIES: REVIEW INVESTMENT POLICY STATEMENT & ACCOUNT HOLDINGS TO ENSURE COMPLIANCE WITH IPS, OVERSEE INVESTMENT ACCOUNTS & 3RD PARTY MANAGERS; HOURS DEVOTED PER WEEK: .10; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: .10; (3) JSC - JOINT STEERING COMMITTEE; ADDRESS: PERSONAL ADDRESS; BUSINESS DESCRIPTION: CONSULTANT GROUP; NOT INVESTMENT RELATED; START DATE: 06/01/2018; CAPACITY: CHAIR; DUTIES: GENERAL OVERSIGHT; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1 (4) Name of Entity - Society for Human Resources Management of Greater Tucson (SHRM-GT) Address - 107 S. Southgate Dr, SHRM Chapter 0181, Tucson, AZ 85226 Business Description - SHRM-GT is a membership organization fostering the advancement of HR professionals Business is not investment related Projected Start Date: 08/19/2019 Capacity: Director Duties Performed: Sponsorship Committee Chair, Board Member - Assist in securing sponsors for our organization activities Hours Devoted to this OBA per Month: 2 Hours Devoted to this OBA during business hours: 2 (5) Name: Goodwill Industries of Southern Arizona Address: 1940 E Sliverlake Dr Suite 405 Tucson, AZ 85713 Business Description: To provide jobs and training for people to gain skills and achieve independence. Business is not investment related Projected Start Date: 09/24/20 Capacity: Board of Directors * Duties Performed: Establish mission, vision and values and set policy. Establish short and long term goals and budget. Recruit Board Members. Select, advice and oversee President/CEO. Devoted to this OBA per Month: 0.5 hours a week Hours Devoted to this OBA during business hours: 0.5 (6) NAME OF ENTITY: Tucson Airport Authority ADDRESS: 7005 S. Plumer, Tucson, AZ 85756 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: The Tucson Airport Authority (TAA) is a nonprofit organization. CAPACITY: Committee/Council Member (not associated with the Board of Directors). START DATE: 02/01/2013 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
CRS (Client Relationship Summary) - RIA
Click below to view Vance Leonard Falbaum's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Vance Leonard Falbaum'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
January 2, 2002 - Present
RBC CAPITAL MARKETS, LLC
Office #2: 3430 East Sunrise Drive Suite 250, Tucson, AZ 85718-3237RIA
BD
CRD#: 31194
TUCSON, AZ
Current
March 2, 1998 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 3430 East Sunrise Drive Suite 250, Tucson, AZ 85718-3237RIA
BD
CRD#: 31194
Tucson, AZ
Past
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
May 17, 1988 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
BD
CRD#: 6663
DALLAS, TX
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(10/16/2012)
RR
Alaska(3/28/2017)
RR
Arizona(3/2/1998)
IAR
Arizona(6/17/2004)
RR
California(3/2/1998)
RR
Colorado(3/2/1998)
RR
Delaware(4/9/2021)
RR
District of Columbia(5/9/2016)
RR
Florida(3/2/1998)
RR
Georgia(11/29/2000)
RR
Hawaii(6/21/2001)
RR
Idaho(1/3/2017)
RR
Illinois(9/7/2001)
RR
Indiana(7/10/2001)
RR
Maine(10/28/2024)
RR
Maryland(1/2/2008)
RR
Massachusetts(3/12/2003)
RR
Michigan(1/11/2016)
RR
Minnesota(5/14/2018)
RR
Missouri(6/6/2018)
RR
Nevada(10/30/2007)
RR
New Jersey(2/6/2013)
RR
New Mexico(3/2/1998)
RR
New York(7/17/2013)
RR
North Carolina(10/6/2008)
RR
Ohio(7/9/2014)
RR
Oregon(5/3/2017)
RR
Pennsylvania(4/11/2016)
RR
South Dakota(1/9/2008)
RR
Tennessee(8/25/2016)
RR
Texas(1/6/2000)
IAR
Texas(2/8/2010)
RR
Utah(2/8/2013)
RR
Virginia(3/2/1998)
RR
Washington(3/2/1998)
RR
West Virginia(2/19/2020)
RR
Wisconsin(4/25/2012)
Exams
State Security Law Exam
State Security Law 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: 9/9/1998
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.
