LB
Lucien C. Blackwell
RBC CAPITAL MARKETS
Cleveland, OH 44114
Some features on this profile are disabled
CRD#: 6691171
LB
Professional summary
Lucien C Blackwell, who also goes by Lucien Christopher Blackwell, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Cleveland, Ohio.
Lucien is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Lucien has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lucien Christopher Blackwell
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) Money Smarts School of Finance for Children St. Louis, MO Start date: 1/1/2018 Board Secretary Hours per week: 0 Hours during trading: 0 Acting Board Secretary (2) Name of Entity �?" St. Louis Convention and Visitors Commission dba "Explore St. Louis" Address �?" 701 Convention Plaza, St. Louis, MO 63101 Business Description �?" The St. Louis Convention & Visitors Commission (DBA "Explore St. Louis") is the official destination marketing organization responsible for selling St. Louis City and County as a convention and meeting site and as a leisure travel destination. It works to attract citywide conventions, hotel meetings, sporting events, group tours, and travelers to St. Louis. Business is/is not investment related �?" No Projected Start Date: 08/2019 Capacity: Board Member Duties Performed: Responsible for guiding the business functions of the entity. This was an appointed position Hours Devoted to this OBA Per Month: 2 Hours Devoted to this OBA during business hours: 2 3) NAME OF ENTITY: 100 Black Men of Greater Cleveland, Inc. ADDRESS: 13815 KINSMAN RD, Cleveland OH 44120 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: The 100 Black Men of Greater Cleveland Chapter provides a variety of educational, informative, and uplifting programs for the whole family. Our programs teach the necessary leadership and development skills to assist our mentees and their families in realizing and maximizing their full potential. We are a 501c3 non-profit organization. START DATE: 01.01.21 CAPACITY: Board of Directors DUTIES: I am currently the acting Finance Director as of June 2022 and I sit on the Board of Directors in an executive capacity. HOURS DEVOTED PER MONTH: 8 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 4) NAME OF ENTITY: Neighborworks of America ADDRESS: 999 North Capitol Street NE, Suite 900, Washington, DC, 20002 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Training and leadership development START DATE: 01.02.23 CAPACITY: Teach various topics around financial literacy for the organization DUTIES: Training the counselors of their organizations on various topics. Developing content for them on various topics (i.e. credit, homeownership, small business lending, micro lending, community development, affordable housing, etc.) HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
CRS (Client Relationship Summary) - RIA
Click below to view Lucien C Blackwell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lucien C Blackwell'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 1, 2021 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 600 Superior Avenue Suite 2300, Cleveland, OH 44114RIA
BD
CRD#: 31194
Cleveland, OH
Current
April 1, 2021 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 200 Vesey St., New York, NY 10281RIA
BD
CRD#: 31194
NEW YORK, NY
Past
December 20, 2016 - February 1, 2021
EDWARD JONES
RIA
CRD#: 250
ST LOUIS, MO
Past
September 28, 2016 - February 1, 2021
EDWARD JONES
BD
CRD#: 250
ST LOUIS, MO
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
Ohio(4/1/2021)
IAR
Ohio(4/1/2021)
Exams
State Security Law 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.
