BL
Bruce A. Lewin
RBC CAPITAL MARKETS | Senior Financial Advisor
Frisco, TX 75034
Some features on this profile are disabled
CRD#: 2753178
BL
Professional summary
Bruce Allen Lewin, who also goes by Bruce A Lewin, Bruce Allen Lewin, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Frisco, Texas.
Bruce is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Bruce has worked at 13 firms and has passed the Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
What are your service offerings?
Loans/credit services
Financial planning
Trust & estate planning
Philanthropic services
Trading individual securities
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
250K
Are you a "fiduciary"?
Yes
Aliases
Bruce A Lewin | Bruce Allen Lewin
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: Address: 2805 Amesbury drive, Plano , TX, 75093, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 04/15/2020 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: collect rent ,talk directly to tenant if any issues with property, own jointly with spouse ,personal first home we rent out (2)Name of Business: SUSA Insurance/ Prosperity Address: 13465 Midway Road, Dallas, TX, 75244, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 10/22/2021 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: agent application (3) NAME OF ENTITY: 2813 Raintree Drive / rental property ADDRESS: 2813 Raintree Plano, TX 75074 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Wife's Rental Property START DATE: 07.01.23 CAPACITY: Owner - Passive DUTIES: Correspond with tenant time to time HOURS DEVOTED PER MONTH: 0.1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
CRS (Client Relationship Summary) - RIA
Click below to view Bruce Allen Lewin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Bruce Allen Lewin'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 17, 2023 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 1 Cowboys Way Suite 450, Frisco, TX 75034RIA
BD
CRD#: 31194
Frisco, TX
Current
October 17, 2023 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 1 Cowboys Way Suite 450, Frisco, TX 75034RIA
BD
CRD#: 31194
Frisco, TX
Past
April 16, 2020 - October 19, 2023
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
Dallas, TX
Past
April 15, 2020 - April 15, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
Dallas, TX
Past
April 15, 2020 - October 19, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
Dallas, TX
Past
August 27, 2018 - April 20, 2020
B. RILEY WEALTH MANAGEMENT
RIA
CRD#: 2543
DALLAS, TX
Past
August 27, 2018 - April 20, 2020
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
DALLAS, TX
Past
January 21, 2015 - August 27, 2018
ADVISOR RESOURCE COUNCIL
RIA
CRD#: 164109
DALLAS, TX
Past
December 17, 2010 - March 27, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
DALLAS, TX
Past
December 17, 2010 - September 7, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
DALLAS, TX
Past
August 26, 2005 - January 21, 2011
HILLTOP SECURITIES INC.
RIA
CRD#: 6220
PLANO, TX
Past
August 26, 2005 - January 21, 2011
HILLTOP SECURITIES INC.
BD
CRD#: 6220
PLANO, TX
Past
July 1, 2003 - August 29, 2005
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PLANO,, TX
Past
July 1, 2003 - August 29, 2005
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
July 16, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
PLANO, TX
Past
July 16, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
March 12, 1999 - August 15, 2001
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
March 2, 1998 - March 17, 1999
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
January 2, 1998 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
BD
CRD#: 6663
DALLAS, TX
Past
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
October 11, 1996 - December 26, 1997
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
September 27, 1996 - October 3, 1996
PROSPERA FINANCIAL SERVICES, INC.
BD
CRD#: 10740
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(10/17/2023)
RR
Arizona(10/17/2023)
RR
Arkansas(10/17/2023)
RR
California(10/17/2023)
RR
Colorado(2/25/2025)
RR
Connecticut(10/17/2023)
RR
District of Columbia(11/9/2023)
RR
Florida(10/17/2023)
RR
Georgia(10/17/2023)
RR
Idaho(10/17/2023)
RR
Louisiana(10/17/2023)
RR
Maine(12/26/2023)
RR
Massachusetts(10/17/2023)
RR
Mississippi(10/17/2023)
RR
New Hampshire(11/9/2023)
RR
New Mexico(10/17/2023)
RR
New York(10/17/2023)
RR
North Carolina(10/17/2023)
RR
Ohio(10/17/2023)
RR
Oklahoma(10/17/2023)
RR
Oregon(10/17/2023)
RR
South Carolina(10/17/2023)
RR
South Dakota(10/17/2023)
RR
Tennessee(10/17/2023)
RR
Texas(10/17/2023)
IAR
Texas(10/17/2023)
RR
Washington(10/17/2023)
RR
Wisconsin(10/19/2023)
Exams
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
Senior Financial AdvisorCRD#: 31194Frisco, TX 75034TRUST BUT VERIFY
Monitor Bruce Lewin
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
