BH
Brendon C. Harbron
RBC CAPITAL MARKETS | Senior Vice President–Wealth Management
Fishers, IN
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CRD#: 4163398
BH
Professional summary
Brendon C. Harbron, CIMA®, who also goes by Brendon Christopher Harbron, Brendon C. C. Harbron, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Fishers, Indiana.
Brendon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Brendon has worked at 3 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brendon Christopher Harbron | Brendon C. C. Harbron
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) THE ESCAPE ROOM NORTH, LLC; 8890 E 116th St, Fishers, IN 46038; Entertainment; Member of Board of directors;I attend board meetings on at least a monthly basis and make recommendations for actions; 12/1/2016; Business hours per month: No (2) THE ESCAPE ROOM DOWNTOWN COLUMBUS; address TBD, Columbus, OH; Entertainment; Member of Board of directors; Review of operations and recommendations to management group; 8/1/2017; Business hours per month: No //UNLOCKING PROFITS LLC; 11519 Idlewood Dr, Fishers, IN 46037; own and operate real estate; Member of Board of directors; make large scale decisions via a quarterly meeting; 5/1/2018; Business hours per month: No (3) THE ESCAPE ROOM LLC; 200 S Meridian St. Ste 220, Indianapolis, IN 46225; Entertainment; Member of Board of directors; business management and review; 7/30/2015; Business hours per month: No (4) Unlocking Profits LLC/ investment related?: yes / 11519 Idlewood Dr, fishers, in, 46037, US/ Real Estate/ own and operate real estate/Member of Board of directors/ make large scale decisions via a quarterly meeting/ start date: 5/1/2018/ time reqd during working hours? no (5) Name of entity: The Escape Room LLC Non-Investment related Address of Entity: 200 S Meridian Indianapolis Indiana 46225 Nature of OBA: Entertainment Position/Title/Relationship: Owner - Active, Director Start Date: 10/27/22 time devoted: 1 hour per week; 0 during securities trading hours Duties: I provide financial oversight and creative input to this business (6) Name of Entity: Revenant Canyon USA, LLC Non-Investment related Address of Entity: 9130 Otis Ave Indianapolis, IN Nature of OBA: Entertainment - Escape Room Adjacent - live interactive entertainment Position/Title/Relationship: Partner Start Date: 03/01/23 Time Devoted: 1 hour; 0 during securities trading hours Duties: Strategic decision making (7) NAME OF ENTITY: Unlocking Profits, LLC ADDRESS: 9130 Otis Ave, Indianapolis, IN 46216 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Real Estate Holding Company CAPACITY: Owner - Active, Partner START DATE: 11/01/2022 DUTIES: Financial oversight, Strategic decision making. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 8)NAME OF ENTITY: Escape Room Holdings, LLC ADDRESS: Nebraska INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Entertainment CAPACITY: Owner - Active, Officer START DATE: 10.27.22 DUTIES: financial oversight and strategic decision making HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 9)NAME OF ENTITY: The Escape Room North, LLC ADDRESS: 9130 Otis Ave INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Escape Room CAPACITY: Owner - Active START DATE: 10.01.17 DUTIES: Financial and Creative HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 10)NAME OF ENTITY: The Escape Room Westfield, LLC ADDRESS: 9130 Otis Ave INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Escape Room CAPACITY: Owner - Active START DATE: 05.01.21 DUTIES: Financial and Creative HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 11) NAME OF ENTITY: Lizton Lodge Properties, LLC ADDRESS: 1392 Wyatt Way lizton Indiana 46149 INVESTMENT/NOT INVESTMENT RELATED: No DESCRIPTION: Partnership START DATE: Oct 07, 2025 CAPACITY: Owner DUTIES: I am one of 3 controlling owners of this entity WORKING TIME: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours (12) NAME OF ENTITY: Lizton Lodge Signature Events, LLC ADDRESS: 1392 Wyatt Way Lizton IN 46149 INVESTMENT/NOT INVESTMENT RELATED: No DESCRIPTION: Private Company START DATE: Oct 01, 2025 CAPACITY: Owner, Partner, Board of Directors DUTIES: Our family will be one of the Primary owners of an established wedding venue. No day to day work but will be dedicating a few hours a month on oversight and strategic planning. I will be a silent 5% owner of this wedding venue. WORKING TIME
CRS (Client Relationship Summary) - RIA
Click below to view Brendon C. Harbron's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brendon C. Harbron'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
October 27, 2022 - Present
RBC CAPITAL MARKETS, LLC
Office #2: 8888 Keystone Crossing Suite 200, Indianapolis, IN 46240-4610RIA
BD
CRD#: 31194
Fishers, IN
Current
October 27, 2022 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 8888 Keystone Crossing Suite 200, Indianapolis, IN 46240-4610RIA
BD
CRD#: 31194
Indianapolis, IN
Past
January 16, 2009 - November 4, 2022
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
INDIANAPOLIS, IN
Past
January 16, 2009 - November 4, 2022
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
INDIANAPOLIS, IN
Past
July 18, 2000 - January 20, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
INDIANAPOLIS, IN
Past
May 23, 2000 - January 20, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
INDIANAPOLIS, IN
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(11/8/2022)
RR
Arizona(10/27/2022)
RR
Arkansas(10/27/2022)
RR
California(10/27/2022)
RR
Colorado(10/31/2022)
RR
District of Columbia(10/27/2022)
RR
Florida(10/27/2022)
RR
Georgia(10/27/2022)
RR
Idaho(10/27/2022)
RR
Illinois(11/22/2022)
IAR
Indiana(10/27/2022)
RR
Indiana(10/28/2022)
RR
Iowa(10/27/2022)
RR
Kentucky(10/27/2022)
RR
Maine(10/27/2022)
RR
Maryland(10/27/2022)
RR
Massachusetts(10/28/2022)
RR
Michigan(10/27/2022)
RR
Minnesota(11/7/2022)
RR
Missouri(10/27/2022)
RR
New Jersey(10/27/2022)
RR
New Mexico(10/27/2022)
RR
New York(10/27/2022)
RR
North Carolina(10/27/2022)
RR
Ohio(10/27/2022)
RR
Oregon(10/27/2022)
RR
Pennsylvania(12/1/2022)
RR
Puerto Rico(7/22/2025)
RR
South Carolina(10/27/2022)
RR
Tennessee(10/27/2022)
RR
Texas(10/27/2022)
IAR
Texas(10/27/2022)
RR
Utah(4/13/2023)
RR
Virginia(10/27/2022)
RR
West Virginia(10/27/2022)
RR
Wisconsin(10/27/2022)
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.
Company Information
RBC CAPITAL MARKETS, LLC
Senior Vice President–Wealth ManagementCRD#: 31194Fishers, INTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
