EB
Elizabeth A. Bafford
RBC CAPITAL MARKETS
ANNAPOLIS, MD 21401-3686
Some features on this profile are disabled
CRD#: 4976250
EB
Elizabeth A BaffordRBC CAPITAL MARKETS
Professional summary
Elizabeth A Bafford, who also goes by Elizabeth Ann Bafford, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Annapolis, Maryland.
Elizabeth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Elizabeth has worked at 2 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Aliases
Elizabeth Ann Bafford
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 ENTITY: Climate United Fund ADDRESS: 7550 Wisconsin Ave, 8th Floor, Bethesda, MD 20814 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Nonprofit advisory role (probono) START DATE: Apr 01, 2026 CAPACITY: Officer DUTIES: Probono advisory HOURS DEVOTED PER MONTH: 2 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (2) NAME OF ENTITY: The Fuqua School of Business ADDRESS: 100 Fuqua Drive, Durham, 27708 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Educational Institution START DATE: Jan 01, 2013 CAPACITY: Committee/Council Member DUTIES: Member of the Advisory Board for the CASE Initiative on Impact Investing HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (3) NAME OF ENTITY: Aaron and Lillie Straus Foundation ADDRESS: 1001 N. Charles Street, 8th Floor, Baltimore, MD 21201 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: Jan 01, 2018 CAPACITY: Committee/Council Member DUTIES: Member of the Foundation's Investment Committee HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (4) NAME OF ENTITY: Baltimore Community Foundation Inc, The ADDRESS: 11 E. Mount Royal Avenue, 2nd Floor, Baltimore, MD 21202 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: Jan 01, 2019 CAPACITY: Committee/Council Member DUTIES: Sit on the Foundations Impact Investment Committee HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1 (5) NAME OF ENTITY: The Fuqua School of Business ADDRESS: 100 Fuqua Drive Durham NC 27708 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Educational Institution START DATE: Oct 01, 2026 CAPACITY: Other DUTIES: Co-teaching a course with a full-time professor at Duke's Fuqua School of Business. Course description: The Fuqua Sustainable Investment Fund (FSISIF) course helps students run Duke University's public-markets impact investing fund. Over two sequential courses for 6 credits in total (Spring 1 & Spring 2), students act as investment analysts—valuing publicly traded companies, assessing ESG and impact performance, presenting to advisors, and making decisions that shape the live FSISIF portfolio. Through this course, using resources available to them through Duke, students learn to integrate financial, strategic, and impact analysis; build and defend investment and impact theses; and manage a portfolio of investments with both sustainability and fiduciary duty in mind. This course is part of Fuqua's series of learning by doing practicum courses, and is fast-paced, experiential, and team-based. The fund decisions are solely student driven; two second year MBA Fund Co-managers are elected each year and oversee all trades on the funds. Teaching faculty are responsible for providing learning structure, lecturing, bringing in guest speakers, advising, and grading student deliverables. HOURS DEVOTED PER MONTH: 3 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 2
CRS (Client Relationship Summary) - RIA
Click below to view Elizabeth A Bafford's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Elizabeth A Bafford'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
May 8, 2026 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 1906 Towne Centre Blvd Suite 375, Bldg #4, Annapolis, MD 21401-3686Office #2: 1201 Wills Street Suite 230, Baltimore, MD 21231-3805RIA
BD
CRD#: 31194
ANNAPOLIS, MD
Current
April 23, 2026 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 1906 Towne Centre Blvd Suite 375, Bldg #4, Annapolis, MD 21401-3686Office #2: 1201 Wills Street Suite 230, Baltimore, MD 21231-3805RIA
BD
CRD#: 31194
ANNAPOLIS, MD
Past
November 13, 2006 - April 14, 2008
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
WEEHAWKEN, NJ
Past
September 26, 2006 - April 14, 2008
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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
Alaska(5/26/2026)
RR
Arizona(5/26/2026)
RR
California(5/26/2026)
RR
Colorado(5/26/2026)
RR
Connecticut(5/26/2026)
RR
Delaware(5/26/2026)
RR
District of Columbia(5/26/2026)
RR
Florida(5/26/2026)
RR
Georgia(5/26/2026)
RR
Hawaii(5/26/2026)
RR
Illinois(5/26/2026)
RR
Kansas(5/26/2026)
RR
Kentucky(5/26/2026)
RR
Maine(5/26/2026)
RR
Maryland(4/24/2026)
IAR
Maryland(5/8/2026)
RR
Massachusetts(5/26/2026)
RR
Michigan(5/26/2026)
RR
Minnesota(5/26/2026)
RR
Mississippi(5/26/2026)
RR
Nebraska(5/26/2026)
RR
Nevada(5/26/2026)
RR
New Hampshire(5/26/2026)
RR
New Jersey(5/26/2026)
RR
New Mexico(5/26/2026)
RR
New York(5/26/2026)
RR
North Carolina(5/26/2026)
RR
Ohio(5/26/2026)
RR
Oregon(5/26/2026)
RR
Pennsylvania(5/26/2026)
RR
Rhode Island(5/26/2026)
RR
South Carolina(5/26/2026)
RR
South Dakota(5/26/2026)
RR
Tennessee(5/26/2026)
RR
Texas(5/26/2026)
IAR
Texas(5/26/2026)
RR
Utah(5/26/2026)
RR
Vermont(5/26/2026)
RR
Virginia(5/26/2026)
RR
Washington(5/26/2026)
RR
West Virginia(5/26/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/23/2026
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
24X National Exchange LLC
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 GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC
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
8,781
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 | 511,871 |
| AUM (Assets Under Management) | $ 310,428,968,904 |
Disclosures
| Regulatory Event | 367 |
| 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.
