DS
Dennis J. Stanek
RBC CAPITAL MARKETS | Managing Director
FARMINGTON, CT
Some features on this profile are disabled
CRD#: 2074003
DS
Professional summary
Dennis John Stanek II is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Farmington, Connecticut.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Dennis has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
What are your service offerings?
Insurance
Financial planning
Trust & estate planning
Loans/credit services
Executive services/Equity comp...
Institutional consulting
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
1M
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) NAME OF BUSINESS: 18FOUR18 LLC; ADDRESS OF BUSINESS: 16 CORNERSTONE CT, PLANTSVILLE, CT 06479; NATURE OF BUSINESS: GOLF COURSE; START DATE: 10/01/02; END DATE: 2012; POSITION, TITLE OR RELATIONSHIP OF BUSINESS: OWNER-PASSIVE; -SMALL, PRIVATE.
(2) NAME OF BUSINESS: 36 RUSS ST. ASSOC. LLC; ADDRESS OF BUSINESS: 900 CHAPEL STREET, NEW HAVEN, CT 06510; NATURE OF BUSINESS: A REAL ESTATE ACQUISTITION; POSITION, TITLE OR RELATIONSHIP OF BUSINESS: OWNER-PASSIVE.
(3) NAME OF BUSINESS: LORISTA HOLDINGS LLC; ADDRESS: 7 WILLIAM STREET, WALLINGFORD, CT 06492; VACATION HOME ACQUISITION; START DATE: 11/07/13; END DATE: 10/31/18; OWNER-ACTIVE; DUTIES: CO-OWNER OF A VACATION HOME; NUMBER OF HOURS DEVOTED: 0; NUMBER OF HOURS DEVOTED DURING SECURITY TRADING HOURS: 0
(4) HARTFORD HEALTHCARE CORPORATION; ONE STATE STREET HARTFORD CT 06103; HEALTHCARE; 06/11/14 TO 06/30/23; BOARD OF DIRECTORS; OVERSIGHT OF COMPANY; 4 HOURS DEVOTED TO ACTIVITY PER MONTH; 0 HOURS DURING SECURITIES HOURS.
(5) CHAPEL 1226, LLC; 1 GLENEAGLES DRIVE -A-, FARMINGTON, CT 06032; RENTAL REAL ESTATE; START DATE:06/15/15; PROJECTED END DATE:06/15/31; OWNER-PASSIVE; HOURS PER MONTH: 4 ; HOURS PER TRADING HOURS: 0
(6) Name of Entity: Swag Custom Rides
Address of Business: 83 Salvatore Road Bristol CT 06010
Business Descriptions: Rebuild Pick-up Trucks
Business is not investment related.
Projected Start Date - 03/01/2015
Projected End Date - 02/28/2030
Capacity - Director
5 hours devoted to this OBA per month
0 hours devoted during security trading hours per month
7) Name: Hot Tomato's LLC
Address: 1 Union Place Hartford CT 06103
Business Description: Restaurant
Business is not investment related
Projected Start Date: 12/01/12
Capacity: Owner - Passive
Duties Performed: None
Devoted to this OBA per Month: 0
Hours Devoted to this OBA during business hours: 0
8) Name: Loretta Holdings LLC
Address: 7 William Street Wallingford CT 06492
Business Description: Vacation home acquisition
Business is not investment related
Projected Start Date: 11/07/13
Capacity: Owner - Active
Duties Performed: Co-owner of a vacation home
Devoted to this OBA per Month: 15 min
Hours Devoted to this OBA during business hours: 0
CRS (Client Relationship Summary) - RIA
Click below to view Dennis John Stanek II's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dennis John Stanek II'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 13, 2005 - Present
RBC CAPITAL MARKETS, LLC
Office #2: 30 Batterson Park Road Suite 350, Farmington, CT 06032RIA
BD
CRD#: 31194
FARMINGTON, CT
Current
December 13, 2005 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 30 Batterson Park Road Suite 350, Farmington, CT 06032RIA
BD
CRD#: 31194
Farmington, CT
Past
March 11, 2002 - December 7, 2005
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
HARTFORD, CT
Past
March 9, 2002 - December 7, 2005
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
July 30, 1990 - March 9, 2002
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
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(4/5/2024)
RR
Alaska(5/30/2024)
RR
Arizona(12/13/2005)
RR
Arkansas(9/16/2013)
RR
California(12/13/2005)
RR
Colorado(4/3/2014)
RR
Connecticut(12/13/2005)
IAR
Connecticut(12/13/2005)
RR
Delaware(1/25/2023)
RR
Florida(12/13/2005)
RR
Georgia(12/13/2005)
RR
Illinois(12/13/2005)
RR
Indiana(3/3/2021)
RR
Kansas(2/9/2021)
RR
Kentucky(1/3/2019)
RR
Maine(12/13/2005)
RR
Maryland(12/13/2005)
RR
Massachusetts(12/13/2005)
RR
Michigan(1/3/2006)
RR
Nevada(10/14/2020)
RR
New Hampshire(12/13/2005)
IAR
New Hampshire(12/13/2005)
RR
New Jersey(12/13/2005)
RR
New York(12/13/2005)
RR
North Carolina(12/13/2005)
IAR
Ohio(2/1/2006)
RR
Ohio(2/7/2011)
RR
Oregon(3/16/2023)
RR
Pennsylvania(12/13/2005)
RR
Rhode Island(12/13/2005)
RR
South Carolina(11/9/2010)
RR
Tennessee(10/31/2025)
RR
Texas(3/18/2008)
IAR
Texas(2/19/2010)
RR
Utah(1/25/2023)
RR
Vermont(12/13/2005)
RR
Virginia(12/13/2005)
RR
Washington(1/8/2010)
RR
Wisconsin(7/29/2015)
RR
Wyoming(11/13/2023)
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.
Company Information
RBC CAPITAL MARKETS, LLC
Managing DirectorCRD#: 31194Farmington, CTTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
