Adam D. Macdonald
RBC CAPITAL MARKETS | Wealth Manager
Irvine, CA 92618
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CRD#: 5199964
Professional summary
Adam Douglas Macdonald is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Irvine, California.
Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Adam has worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
What are your service offerings?
Financial planning
Trading individual securities
Insurance
Trust & estate planning
Loans/credit services
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
1M
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) RENTAL PROPERTY, INV RELATED, IRVINE, CA, 50% OWNER, START: 5/10/2015, 8 HOURS PER MONTH/0 DURING TRADING,DUTIES: MAINTAIN PROPERTY. 2) Name: Compass Bible Institute Address: 145 Columbia Aliso Viejo CA 92656 Investment-related: No Nature of the business: Theological institute Role: Other Start Date: 06/01/2022 Description of duties: 2 board meetings a year to plan and discuss ways to raise capital and increase student participation at the school. Number of hours each month: Less than 1hour Number of hours during trading: 0 (3) NAME OF ENTITY: Rental Property ADDRESS: 2308 Apricot Irvine, CA 92618 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Rental Property CAPACITY: Owner - Active START DATE: 04/01/15 DUTIES: Managing a rental property sometimes painting and unclogging drains HOURS DEVOTED PER MONTH: .1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 4) NAME OF ENTITY: UCI- Center for Investment Wealth Management ADDRESS: Center for Investment and Wealth Management UCI Paul Merage School of Business 4293 Pereira Drive, Suite 3402 Irvine, CA 92697-3125 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Professional musical orchestra and choir CAPACITY: Other/ Work with faculty at UCI to assist in development of their financial literacy program for teens from homes where they would be first generation college attendees. START DATE: 01/01/2010 DUTIES: Help with a non-profit financial education program for teens who aspire to be first generation college attendees. HOURS DEVOTED PER MONTH: less than an 1 hour HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
CRS (Client Relationship Summary) - RIA
Click below to view Adam Douglas Macdonald's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Adam Douglas Macdonald'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
April 10, 2023 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 400 Spectrum Center Drive Suite 200, Irvine, CA 92618RIA
BD
CRD#: 31194
Irvine, CA
Current
April 10, 2023 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 400 Spectrum Center Drive Suite 200, Irvine, CA 92618RIA
BD
CRD#: 31194
Irvine, CA
Past
June 1, 2018 - May 8, 2023
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
RIA
CRD#: 108559
Newport Beach, CA
Past
June 1, 2018 - May 8, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
BD
CRD#: 105108
NEWPORT BEACH, CA
Past
January 1, 2008 - June 6, 2018
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
IRVINE, CA
Past
January 1, 2008 - June 6, 2018
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
IRVINE, CA
Past
March 2, 2007 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
LAGUNA WOODS, CA
Past
February 6, 2007 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
LAGUNA WOODS, CA
Past
November 22, 2006 - January 11, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
LOS ANGELES, 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(5/10/2023)
RR
Alaska(4/10/2023)
RR
Arizona(4/10/2023)
RR
California(4/10/2023)
IAR
California(4/10/2023)
RR
Colorado(4/10/2023)
RR
Connecticut(4/10/2023)
RR
Delaware(4/10/2023)
RR
Florida(4/10/2023)
RR
Georgia(4/12/2023)
RR
Hawaii(4/11/2023)
RR
Idaho(4/10/2023)
RR
Illinois(4/11/2023)
RR
Indiana(4/10/2023)
RR
Iowa(11/16/2023)
RR
Louisiana(4/18/2023)
RR
Maine(4/11/2023)
RR
Massachusetts(4/11/2023)
RR
Michigan(4/10/2023)
RR
Minnesota(9/26/2023)
RR
Missouri(4/10/2023)
RR
Montana(4/10/2023)
RR
Nevada(4/10/2023)
RR
New Hampshire(4/10/2023)
RR
New Jersey(4/10/2023)
RR
New Mexico(4/10/2023)
RR
New York(4/10/2023)
RR
North Carolina(4/10/2023)
RR
Ohio(4/10/2023)
RR
Oregon(4/10/2023)
RR
Pennsylvania(4/10/2023)
RR
South Carolina(4/10/2023)
RR
Tennessee(4/10/2023)
RR
Texas(4/10/2023)
IAR
Texas(4/10/2023)
RR
Utah(4/10/2023)
RR
Vermont(1/5/2024)
RR
Virginia(4/10/2023)
RR
Washington(4/10/2023)
RR
Wisconsin(4/10/2023)
RR
Wyoming(4/10/2023)
Exams
State Security Law 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.
Company Information
RBC CAPITAL MARKETS, LLC
Wealth ManagerCRD#: 31194Irvine, CA 92618TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
