DB
Dean A. Bahniuk
RBC CAPITAL MARKETS
COCONUT GROVE, FL
Some features on this profile are disabled
CRD#: 2418525
DB
Professional summary
Dean Andrew Bahniuk is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Coconut Grove, Florida.
Dean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Dean has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 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) NAME OF ENTITY: Black Marlin Publishing LLC ADDRESS: 2322 Lincoln Ave, Coconut Grove, FL, 33133 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: 16/12/2009 CAPACITY: Owner DUTIES: I am the sole owner and operator of Black Marlin Publishing LLC, an entity formed to hold the publishing rights to the book, The Art of Wealth, which I authored. Black Marlin was organized in Virginia and is current and in good standing. The Art of Wealth was published in 2012. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
CRS (Client Relationship Summary) - RIA
Click below to view Dean Andrew Bahniuk's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dean Andrew Bahniuk'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
February 16, 2024 - Present
RBC CAPITAL MARKETS, LLC
Office #2: 801 Brickell Avenue Suite 2100, Miami, FL 33131RIA
BD
CRD#: 31194
COCONUT GROVE, FL
Current
February 16, 2024 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 801 Brickell Avenue Suite 2100, Miami, FL 33131RIA
BD
CRD#: 31194
Miami, FL
Past
February 23, 2015 - February 16, 2024
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
CORAL GABLES, FL
Past
February 20, 2015 - February 16, 2024
OPPENHEIMER & CO. INC.
BD
CRD#: 249
CORAL GABLES, FL
Past
May 4, 2007 - March 20, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MIAMI, FL
Past
May 4, 2007 - March 20, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
MIAMI, FL
Past
January 3, 2003 - May 8, 2007
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
WASHINGTON, DC
Past
January 3, 2003 - May 8, 2007
OPPENHEIMER & CO. INC.
BD
CRD#: 249
WASHINGTON, DC
Past
January 19, 2001 - January 3, 2003
CIBC WORLD MARKETS CORP.
RIA
CRD#: 630
WASHINGTON, DC
Past
August 16, 2000 - January 3, 2003
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
September 27, 1996 - August 23, 2000
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
April 13, 1994 - October 21, 1996
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
February 23, 1994 - April 8, 1994
CAPITAL RESOURCES, INC.
BD
CRD#: 16899
ROCKVILLE, MD
Past
November 15, 1993 - February 24, 1994
WASHINGTON INVESTMENT CORPORATION
BD
CRD#: 25727
WASHINGTON, DC
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(10/29/2025)
RR
Alaska(10/30/2025)
RR
Arizona(11/7/2025)
RR
Arkansas(10/29/2025)
RR
California(2/16/2024)
RR
Colorado(10/29/2025)
RR
Connecticut(10/31/2025)
RR
Delaware(2/16/2024)
RR
District of Columbia(2/16/2024)
RR
Florida(2/16/2024)
IAR
Florida(2/26/2024)
RR
Georgia(2/16/2024)
RR
Idaho(10/29/2025)
RR
Illinois(2/16/2024)
RR
Indiana(2/16/2024)
RR
Iowa(3/7/2025)
RR
Kansas(10/29/2025)
RR
Kentucky(10/31/2025)
RR
Louisiana(2/16/2024)
RR
Maine(10/29/2025)
RR
Maryland(2/16/2024)
RR
Massachusetts(2/20/2024)
RR
Michigan(10/31/2025)
RR
Minnesota(10/30/2025)
RR
Mississippi(10/29/2025)
RR
Missouri(2/16/2024)
RR
Montana(11/4/2025)
RR
Nebraska(2/16/2024)
RR
Nevada(2/16/2024)
RR
New Hampshire(2/16/2024)
RR
New Jersey(2/16/2024)
RR
New Mexico(2/16/2024)
RR
New York(2/16/2024)
RR
North Carolina(2/21/2024)
RR
North Dakota(11/6/2025)
RR
Ohio(10/29/2025)
RR
Oklahoma(2/16/2024)
RR
Oregon(10/30/2025)
RR
Pennsylvania(2/16/2024)
RR
Rhode Island(11/10/2025)
RR
South Carolina(2/16/2024)
RR
South Dakota(10/29/2025)
RR
Tennessee(2/16/2024)
RR
Texas(2/16/2024)
IAR
Texas(2/16/2024)
RR
Utah(10/30/2025)
RR
Vermont(10/29/2025)
RR
Virginia(2/16/2024)
RR
Washington(2/16/2024)
RR
West Virginia(2/16/2024)
RR
Wisconsin(10/29/2025)
RR
Wyoming(11/12/2025)
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.
