DR
David C. Rankin
RBC CAPITAL MARKETS
Wynnewood, PA
Some features on this profile are disabled
CRD#: 2782425
DR
Professional summary
David Charles Rankin, CFP® is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Wynnewood, Pennsylvania.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. David has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 52 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) MARATHON PARTNERS, LLC.; 114 PENCOYD AVE, BALA CYNWYD, PA 19004; HOUSES RADIO SHOW AND THE EXPENSES WE INCUR; PARTNER; START DATE: 01/01/2002; 20; 0; I AM A PARTNER/RADIO HOST 2) the First Tee of Greater Philadelphia; youth enrichment; 800 Walnut Ln., Philadelphia, PA 19128; start date: 11/19/2019; Advisory board; Provide input to the board of directors and staff of the organization on ways to boost engagement, outreach, and fund raising; 1hr/month; Investment-related 3)Name: Marathon Partners, LLC Address: 6000 Sagemore Dr, Ste 6201 Marlton, NJ 08053 Business Description: LLC for business expenses Business is not investment related Projected Start Date: 06/15/20 Capacity: Other Duties Performed: paying accountant bills, state partnership taxes Devoted to this OBA per Month: 10 Minutes per year Hours Devoted to this OBA during business hours: 0 4)Name: The First Tee of Greater Philadelphia Address: 800 Walnut Lane Philadelphia, PA 19128 Business Description: 503c charity Business is not investment related Projected Start Date: Capacity: Other Duties Performed: attend advisory board meetings, spread awareness of organization Devoted to this OBA per Month: 1 hour Hours Devoted to this OBA during business hours: 0 5) ADDRESS: 1 S 24th St, #2, Longport, NJ 08403; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Rental Property; CAPACITY: Owner/Active; START DATE: 07/01/2021; DUTIES: This is a vacation property owned personally by my wife and I; HOURS DEVOTED PER MONTH: 01; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 01; (6) NAME OF ENTITY: Windchester House HOA; ADDRESS: 21 Via Aurelia Palm Beach Gardens, FL 33418; NOT INVESTMENT RELATED: BUSINESS DESCRIPTION: Non-profit Home Owners Association; CAPACITY: Elected Official (Non-Political Office); START DATE: 06/07/2021; DUTIES: This is a 4 person condominium home owners association. I am being added to have a secondary signor in the event that something happens to the person who currently manages the affairs on behalf of the HOA. HOURS DEVOTED PER MONTH: None; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: None;
CRS (Client Relationship Summary) - RIA
Click below to view David Charles Rankin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Charles Rankin'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®
CFP®
Start date: 2002
Experience
Current
June 10, 2020 - Present
RBC CAPITAL MARKETS, LLC
Office #2: 3000 Atrium Way Suite 500, Mount Laurel, NJ 08054-3914RIA
BD
CRD#: 31194
Wynnewood, PA
Current
June 10, 2020 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 3000 Atrium Way Suite 500, Mount Laurel, NJ 08054-3914RIA
BD
CRD#: 31194
Mount Laurel, NJ
Past
February 11, 2009 - June 25, 2020
JANNEY MONTGOMERY SCOTT LLC
RIA
CRD#: 463
MARLTON, NJ
Past
February 11, 2009 - June 25, 2020
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
MARLTON, NJ
Past
August 15, 2005 - February 12, 2009
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MARLTON, NJ
Past
July 29, 2005 - February 12, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MARLTON, NJ
Past
November 5, 2003 - August 15, 2005
RYAN BECK & CO.
RIA
CRD#: 3248
CHERRY HILL, NJ
Past
November 5, 2003 - August 15, 2005
RYAN BECK & CO.
BD
CRD#: 3248
FLORHAM PARK, NJ
Past
January 7, 2000 - November 3, 2003
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MARLTON, NJ
Past
October 1, 1999 - November 3, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
August 14, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
August 6, 1997 - August 21, 1998
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
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(6/10/2020)
RR
California(6/10/2020)
RR
Colorado(6/10/2020)
RR
Delaware(6/11/2020)
RR
District of Columbia(7/31/2020)
RR
Florida(6/10/2020)
RR
Georgia(6/10/2020)
RR
Idaho(6/10/2020)
RR
Illinois(1/21/2022)
RR
Iowa(9/22/2023)
RR
Maryland(3/23/2023)
RR
Massachusetts(6/10/2020)
RR
Michigan(9/28/2022)
RR
Missouri(7/9/2020)
RR
Nevada(6/10/2020)
RR
New Jersey(6/10/2020)
IAR
New Jersey(6/18/2020)
RR
New York(6/10/2020)
RR
North Carolina(6/11/2020)
RR
Ohio(3/13/2023)
RR
Oregon(6/10/2020)
RR
Pennsylvania(6/10/2020)
IAR
Pennsylvania(6/10/2020)
RR
South Carolina(6/10/2020)
RR
Tennessee(4/18/2024)
RR
Texas(2/11/2025)
IAR
Texas(2/11/2025)
RR
Washington(6/25/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
