DS
David O. Spinar
RBC CAPITAL MARKETS
LINCOLN, NE 68520
Some features on this profile are disabled
CRD#: 2789529
DS
Professional summary
David Octavio Spinar, who also goes by David Octavio De La Fuente, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Lincoln, Nebraska.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. David has worked at 5 firms and has passed the Series 66, SIE, Series 3, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Octavio De La Fuente
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) NEBRASKA STATE PAR ASSOCIATION HOUSE OF DELEGATES INVESTMENT COMMITTEE; NSBA, 635 SOUTH 14TH STREET, STE 200, LINCOLN, NE 685608; START DATE: 5/11/2015; COMMITTEE/COUNCIL MEMBER; AS A MEMBER OF THE IC I WILL ADD MY OPINION TO THE RECOMMENDATIONS MADE BY THE IC TO THE BUDGET AND PLANNING COMMITTEE; HOURS P/M: 2; HOURS DURING TRADING: 2 (2) FINRA CONTINUING EDUCATION COMMITTEE; ADDRESS: 20 BROAD ST. 25TH FLOOR NEW YORK, NY 10005; DESCRIPTION: REGULATORY AGENCY; NOT INVESTMENT RELATED; START DATE: 11/15/2011 CAPACITY: COMMITTEE/COUNCIL MEMBER; DUTIES: ASSIST FINRA IN VETTING THE MATERIALS USED TO PROVIDE THE INDUSTRY WITH REGULATORY ELEMENT CE; HOURS DEVOTED P/M: 5; HOURS DEVOTED DURING SECURITIES HOURS P/M: NONE (3) OPEN SKY POLICY INSTITUTE; ADDRESS: 1201 "0" ST., SUITE 10, LINCOLN NE 68508; DESCRIPTION: INDEPENDENT RESEARCH OF STATE FISCAL POLICY; NOT INVESTMENT RELATED; START DATE: 01/01/2017; CAPACITY: BOARD OF DIRECTORS, OTHER - PRESIDENT ELECT OF THE BOARD, WILL TAKE OFFICE AS PRESIDENT IN 2017; DUTIES: RUNNING QUARTERLY BOARD MEETINGS, AD HOC BOARD ACTIONS; HOURS DEVOTED P/M: 04; HOURS DEVOTED DURING SECURITIES HOURS P/M: 04 (4) Name: Lincoln Electric System Adminsitrative Board Description: LES is the public utility that provides electricity on a public power basis to Lincoln NE residents. Investment-related: (yes or no) Address: LES, 1040 O St., Lincoln NE 68508 Capacity:Board of Directors Start Date: 07/30/19 Duties: Please see the attached disclosure documents. The Board has general oversight of the property, personnel, facilities, equipment and finances of LES. Hours devoted P/M: .5 Hours devoted during securities hours P/M: .5 (5) Name - Lincoln Electric System Administrative Board Finance and Audit Committee Address - 1040 East O St. Lincoln, NE 68508 Description - LES is a public power utility serving Lincoln and its surrounding area. Investment-related: no Projected Start Date: 08/16/2019 Capacity: Board of Directors Duties Performed: Members of the Audit and Finance Committee provide oversight and advice with respect to the activities of LES. The A&F Committee reports to the LES Administrative Board. Hours Devoted P/M: 1 Hours Devoted during business hours P/M: 1 (6) NAME: West Point Parents Club - Nebraska and Western Iowa ADDRESS: 5089 S. 175th Circle, Omaha NE 68135 Investment-related: No DESCRIPTION: WPPC-NE&WIA is a 501(c)-3 corp. dedicated to the principles and welfare of USMA cadets. CAPACITY: Officer, Board of Directors * START DATE: 05/04/22 DUTIES: As Co-President I will preside at the 4 quarterly club meetings and work with members of the board and the other officers to support the cadets and their families while the cadets attend USMA-West Point. HOURS DEVOTED P/M: 0.5 HOURS DEVOTED DURING SECURITIES HOURS P/M: 0.5 (7) Name: Spinman Properties LLC Non-investment related Address of Entity: 9611 Hollow Tree Dr., Lincoln, NE 68512 Nature: LLC established for the purpose of real estate investment. Position: Owner - Active Start date: 07/21/14 Time devoted: 0.001 hrs P/M: 0.0005 hrs during securities trading hours Duties: As manager of the LLC I have primary responsibility for operation and administration of the LLC. 8) Name: Nonprofit Association of the Midlands ADDRESS: 1111 North 13ths St., Ste213, Omaha, NE 68102 Investment-related: No DESCRIPTION: Foundation/Charitable Institution START DATE: 11.26.24 CAPACITY: Committee Member DUTIES: I have been asked to serve as a member of the Non-Profit Association of the Midland's Retirement Plan Committee. HOURS DEVOTED P/M: 1 DURING SECURITIES HOURS P/M: 0 (9) Name: Lincoln Community Foundation, Inc. Address: 215 Centennial Mall South Suite 100 Lincoln NE 68508 Investment-related: No Business Description: Foundation/Charitable Institution Start Date: Jan 01, 2026 Capacity: Director Duties: Board of Directors Member - please see the attached statement of duties. Hours Devoted P/M: 0 - 4 Hours During Securities Hours P/M: 0 - 4
CRS (Client Relationship Summary) - RIA
Click below to view David Octavio Spinar's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Octavio Spinar'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
November 25, 2009 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 8800 Firethorn Lane Suite 200, Lincoln, NE 68520RIA
BD
CRD#: 31194
LINCOLN, NE
Current
November 20, 2009 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 8800 Firethorn Lane Suite 200, Lincoln, NE 68520RIA
BD
CRD#: 31194
LINCOLN, NE
Past
January 1, 2008 - November 23, 2009
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
LINCOLN, NE
Past
January 1, 2008 - November 23, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
LINCOLN, NE
Past
September 27, 2007 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
LINCOLN, NE
Past
August 29, 2007 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
LINCOLN, NE
Past
July 23, 2003 - August 28, 2007
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
OMAHA, NE
Past
September 3, 1996 - August 28, 2007
SECURITIES AMERICA, INC.
BD
CRD#: 10205
OMAHA, NE
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(11/20/2009)
RR
Arkansas(7/5/2023)
RR
California(11/20/2009)
RR
Colorado(1/19/2010)
RR
District of Columbia(1/13/2016)
RR
Florida(3/16/2020)
RR
Georgia(10/17/2017)
RR
Idaho(10/11/2019)
RR
Illinois(11/20/2009)
RR
Iowa(1/31/2012)
RR
Kansas(1/5/2010)
RR
Louisiana(12/4/2009)
RR
Massachusetts(11/16/2017)
RR
Michigan(7/19/2021)
RR
Minnesota(11/20/2009)
RR
Mississippi(10/24/2017)
RR
Missouri(12/10/2009)
RR
Nebraska(11/20/2009)
IAR
Nebraska(11/25/2009)
RR
Nevada(11/28/2011)
RR
New Mexico(4/10/2024)
RR
New York(2/3/2016)
RR
North Carolina(1/19/2010)
RR
North Dakota(10/24/2017)
RR
Ohio(5/7/2024)
RR
Oregon(12/3/2009)
RR
Pennsylvania(1/10/2024)
RR
South Dakota(11/14/2017)
RR
Tennessee(4/10/2019)
RR
Texas(11/20/2009)
IAR
Texas(2/5/2015)
RR
Utah(7/23/2019)
RR
Virginia(3/18/2024)
RR
Washington(5/7/2018)
RR
Wisconsin(9/6/2022)
Exams
State Security Law Exam
General Industry/Product 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.
