DT
David C. Thompson
RBC CAPITAL MARKETS
Newport Beach, CA 92660-6448
Some features on this profile are disabled
CRD#: 3238188
DT
Professional summary
David Charles Thompson, CIMA®, who also goes by David C Thompson, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Newport Beach, California.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. David has worked at 2 firms and has passed the Series 66, SIE, Series 3, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David C Thompson
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) PT PROPERTIES; ADDRESS: 1474 LAUSE ROAD, BULHEAD CITY, AZ, 86442; NOT INVESTMENT RELATED; DESCRIPTION: LLC; CAPACITY: OWNER-ACTIVE; START DATE: 1/1/2019; DUTIES: WE OWN A VACATION HOME TOGETHER AND HAVE TO MANAGER THE DAY-TO-DAY CARE TAKING OF THE PROPERTY; HOURS PER MONTH: 2; SECURITIES HOURS: 0. (2) Name of business: Rental Properties Description: Rental Property investment-related: no Address:1952 Grenada & 701 Malibu Bullhead City, AZ 86442 (WILL BE HELD IN PT PROPERTIES LLC) Capacity:Owner - Active Start Date: 06/24/19 Duties:25% Owner and manager of rental property Hours per month: 2 securities hours: 0 (3) NAME OF ENTITY: Rental Property ADDRESS: 1769 Forest Dr. Bullhead City AZ 86442 INVESTMENT RELATED: No DESCRIPTION: Rental Property CAPACITY: Owner - Active START: 06/15/20 DUTIES: Property management HOURS PER MONTH: 1 SECURITIES HOURS: 0 (4) NAME OF ENTITY: Rental Property INVESTMENT RELATED: No DESCRIPTION: Rental Property CAPACITY: Owner - Active START DATE: 06/12/20 DUTIES: Property management HOURS PER MONTH: 2 SECURITIES HOURS: 0 (5) Name: Rental Property Address: 2381 E. Carver Ave Bullhead City, AZ 86442 Description: Rental Investment related: No Projected Start Date: 10/01/20 Capacity: Owner - Active Duties Performed: Property Management per Month: 2 business hours: 0 (6) NAME OF ENTITY: SWAN Property Management. ADDRESS: 26 Las Fieras RSM, CA 92688; INVESTMENT RELATED: No BUSINESS DESCRIPTION: Rental Properties; CAPACITY: Owner/Active START DATE: 02/01/2021 DUTIES: Investment into rentals and overseeing property manager HOURS PER MONTH: 0 SECURITIES HOURS: 0 (7) NAME OF ENTITY: N/A. ADDRESS: 4767 Kelli Lane, Kingman AZ; INVESTMENT RELATED: 0 BUSINESS DESCRIPTION: Rental Property CAPACITY: Owner/Active; START DATE: 02/01/2021; DUTIES: Property Management HOURS PER MONTH: 0 SECURITIES HOURS: 0 (8)NAME OF ENTITY: SWAN Property Management LLC; ADDRESS: 1900 Colorado Blvd. Bullhead City, AZ 86442; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Rental Property; CAPACITY: Owner/Active; START DATE: 02/05/2021; DUTIES: Investment and property management. Collection of rent; HOURS PER MONTH: 1 SECURITIES HOURS: 0 (9) Name: Rental Property Address: 1163 Linda Vista Bullhead City, AZ 86442 Business Description: Rental Property Business is not investment related Projected Start Date: 02/24/21 Capacity: Owner - Active Duties Performed: Property Management Hours per Month: 2 Business hours: 0 (10)NAME OF ENTITY: P_T Properties ADDRESS: Personal Residence INVESTMENT RELATED: 0 BUSINESS DESCRIPTION: Master LLC for rentals; CAPACITY: Owner/Active; START DATE: 8/19/18; DUTIES: Property management and purchase of additional rentals; HOURS PER MONTH: 2 SECURITIES HOURS: 0 (11) NAME OF ENTITY: SWAN LLC rental - Sea Breeze 1946 Sea Breeze ln., Bullhead City, AZ 86442 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Rental property CAPACITY: Owner - Active START DATE: 6/2/21 DUTIES: Rental ownership directing repairs, maintenance, and oversight of property management company HOURS DEVOTED 0 12) Rental Property - Equity Trust 1963 Surf and Sand Dr. Bullhead City, AZ 86442 No Rental Property Owner -Passive 3/25/22 Owner of rental property. We have property manager to handle day to day activities but periodically write checks for repairs on rentals 0-0 13) Rental Property - 2549 Via Arroyo 2549 Via Arroyo Bullhead City, AZ 86442 No Rental Property Owner-Active 12/1/22 Investor in Rental property and oversight of Onsight property manager 0-0 14.) Rental Property-Equity Trust 3974 E. Shaffer Kingman, AZ 86409 No Rental Property Owner-Passive 2/28/23 Investor in rental property. We have property manager for day-to-day management & operations 1 - 0 15) ENTITY: SWAN Property Group 1821 Forest Dr. Bullhead City AZ, 86442 No Rental Property 01.23.24 Owner - Passive DUTIES: property manager of day to day. Passive investor but occasionally need to be involved on major items 2 / 0
CRS (Client Relationship Summary) - RIA
Click below to view David Charles Thompson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Charles Thompson'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®
Experience
Current
March 3, 2009 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 610 Newport Center Drive Suite 900, Newport Beach, CA 92660-6448RIA
BD
CRD#: 31194
Newport Beach, CA
Current
March 3, 2009 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 610 Newport Center Drive Suite 900, Newport Beach, CA 92660-6448RIA
BD
CRD#: 31194
Newport Beach, CA
Past
October 18, 1999 - March 5, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LAGUNA HILLS, CA
Past
July 22, 1999 - March 5, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LAGUNA HILLS, CA
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(1/16/2019)
RR
Alaska(10/22/2021)
RR
Arizona(6/1/2009)
RR
California(3/3/2009)
IAR
California(3/4/2009)
RR
Colorado(3/3/2009)
RR
Connecticut(1/7/2019)
RR
Delaware(10/5/2012)
RR
Florida(12/23/2010)
RR
Georgia(4/7/2021)
RR
Hawaii(4/8/2024)
RR
Idaho(3/3/2009)
RR
Illinois(1/14/2023)
RR
Indiana(9/9/2025)
RR
Iowa(9/29/2011)
RR
Kentucky(4/20/2021)
RR
Louisiana(5/8/2025)
RR
Maryland(6/13/2017)
RR
Massachusetts(1/7/2019)
RR
Michigan(3/3/2009)
RR
Missouri(6/27/2024)
RR
Montana(1/16/2024)
RR
Nevada(4/17/2013)
RR
New Jersey(10/31/2023)
RR
New Mexico(9/6/2011)
RR
New York(4/15/2016)
RR
North Carolina(7/25/2013)
RR
Ohio(1/14/2020)
RR
Oregon(3/3/2009)
RR
Pennsylvania(4/1/2025)
RR
Puerto Rico(3/31/2025)
RR
Tennessee(1/18/2011)
RR
Texas(3/3/2009)
IAR
Texas(3/3/2009)
RR
Utah(5/2/2016)
RR
Vermont(9/18/2025)
RR
Virginia(5/17/2010)
RR
Washington(4/16/2021)
RR
West Virginia(1/24/2019)
RR
Wyoming(12/6/2024)
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)
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.
