PC
Paul D. Comcowich
RBC CAPITAL MARKETS
Reno, NV
Some features on this profile are disabled
CRD#: 2310948
PC
Professional summary
Paul Daniel Comcowich is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Reno, Nevada.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Paul has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 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.
I)*63752 For profit or not for profit: For-Profit Organization Name of outside business organization: HARRISON 601 LLC Investment related: N Address of business: LEADVILLE, Colorado 80461 Nature of business: LLC, Position, title, association: Limited Partner, Start date of relationship: 11/8/2012 Number of hours devoted: 15 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: OWNERSHIP OF A COMMERCIAL BUILDING 2) NAME OF ENTITY: The Leadville Manhattan Project LLC ADDRESS: 618 Harrison Ave, Leadville, CO 80461 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Property ownership of single building CAPACITY: Owner - Passive START DATE: 06/30/2023 DUTIES: My primary role is providing capital for the purchase and refurbishment of the property. I will have limited input in all other areas of managing the property. HOURS DEVOTED PER MONTH: 0.5 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 3) NAME OF ENTITY: Leadville's Bar LLC ADDRESS: 618 Harrison Ave, Leadville, CO 80416 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Smal Private START DATE:12.02.24 CAPACITY: Partner DUTIES I will have no active role in running or managing the bar. Other than reviewing the profitability of the business I will not be actively engaged in the business. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
CRS (Client Relationship Summary) - RIA
Click below to view Paul Daniel Comcowich's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paul Daniel Comcowich'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 16, 2019 - Present
RBC CAPITAL MARKETS, LLC
Office #2: 5310 Kietzke Lane Suite 201, Reno, NV 89511-2044RIA
BD
CRD#: 31194
Reno, NV
Current
October 16, 2019 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 5310 Kietzke Lane Suite 201, Reno, NV 89511-2044RIA
BD
CRD#: 31194
Reno, NV
Past
October 23, 2009 - October 18, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
RENO, NV
Past
October 23, 2009 - October 18, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
RENO, NV
Past
May 27, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
RENO, NV
Past
May 27, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
RENO, NV
Past
May 29, 2007 - June 9, 2008
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
RENO, NV
Past
May 29, 2007 - June 9, 2008
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
RENO, NV
Past
August 28, 2003 - May 29, 2007
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
RENO, NV
Past
August 28, 2003 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
March 8, 1999 - August 18, 2003
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
RENO, NV
Past
November 11, 1998 - August 18, 2003
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
May 16, 1997 - July 17, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
September 12, 1996 - December 4, 1996
JANUS HENDERSON DISTRIBUTORS US LLC
BD
CRD#: 28832
DENVER, CO
Past
April 6, 1993 - June 15, 1995
G.RESEARCH, LLC
BD
CRD#: 7353
RYE, NY
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(10/16/2019)
RR
California(10/16/2019)
RR
Colorado(10/16/2019)
RR
Delaware(10/16/2019)
RR
Florida(10/16/2019)
RR
Georgia(3/22/2021)
RR
Idaho(10/16/2019)
RR
Illinois(7/28/2021)
RR
Louisiana(10/16/2019)
RR
Missouri(10/16/2019)
RR
Montana(5/6/2022)
RR
Nevada(10/16/2019)
IAR
Nevada(11/1/2019)
RR
North Carolina(10/16/2019)
RR
Ohio(9/22/2020)
RR
Oregon(10/16/2019)
RR
Pennsylvania(5/16/2025)
RR
Texas(10/16/2019)
IAR
Texas(10/16/2019)
RR
Washington(10/16/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
