DD
David Diller
RBC CAPITAL MARKETS
Albuquerque, NM 87110-4132
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CRD#: 7513909
DD
Professional summary
David Diller is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Albuquerque, New Mexico.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. David has worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
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) Central New Mexico Community College. Part-time faculty for Accounting and Financial Literacy. CNM Main Campus 900 University Blvd. SE 87106. Began teaching Spring of 2020. Typically spend 8-10 hours/month teaching online at night. (2) Managing member of a family multi-member LLC for an Airbnb rental property. 3D Ventures Real Estate, LLC. Property location is 10408 Oso Ct. NE Albuquerque, NM 87109. Spend 2-4 hours/week cleaning and turning over the property for future guests. (3) NAME: New Mexico Society of CPAs ADDRESS: 3400 Menaul Blvd. NE Albuquerque, NM 87107 INVESTMENT/NOT: No DESCRIPTION: New Board Member for 2023-2024 session CAPACITY: Board of Directors * SD: 09/01/2023 DUTIES: Board of Directors are responsible for helping to grow the pipeline for the future of the accounting profession. This includes trying to grow NMSCPA membership, providing educational opportunities (CE) for CPAs, Engaging with professors at local colleges/universities HOURS P/ MO: 0.4 HOURS DURING SEC. HOURS P/ MO:0.2 (4) NAME: Kiwanis Club of Albuquerque ADDRESS: PO Box 21517 Albuquerque, NM 87154 INVESTMENT/NOT: No DESCRIPTION: New Board Member for 2023-2024 session CAPACITY: Board of Directors * SD: 10/01/2023 DUTIES: Board of Directors are responsible for helping build community and find volunteers to participate in various activities around the city that benefit children in Albuquerque. HOURS P/ MO: 0.25 HOURS DURING SEC. HOURS P/ MO: 0.2 (5) NAME: Albuquerque Community Foundation - Future Fund ADDRESS: 624 Tijeras Ave NW, Albuquerque NM 87102 INVESTMENT/NOT: No DESCRIPTION: Committee Member CAPACITY: Committee/Council Member (not associated with the Board of Directors) SD: 01/01/2023 DUTIES: Future Fund wants to create a space for individuals who share their time, talent and treasure through significant community impact, extraordinary contributions to future generations, and redefining what it means to be a philanthropist. Board members help coordinate various grants events and networking opportunities for future fund members. HOURS P/ MO: 0.4 HOURS DURING SEC. HOURS P/ MO: 0.2 (6) NAME: United Way of North Central New Mexico ADDRESS: INVESTMENT/NOT: No DESCRIPTION: Community Investment Council Committee Member CAPACITY: Committee/Council Member (not associated with the Board of Directors) SD: 10/12/2023 DUTIES: Attend monthly meetings, participate in council discussions to advice UWNCNM on the grant process, funding priorities and other topics requested by UWNCNM staff. Participate in annual, half day meeting to allocate grant funds. HOURS P/ MO: : 0.5 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0.2 7) NAME: The Society for Human Resource Mgmt of New Mexico State Council ADDRESS: 8710 La Sala Bell Sur NE, Albuquerque, NM 87111 INVESTMENT/NOT: No DESCRIPTION: Not For Profit SD: 01.01.25 CAPACITY: Treasurer, Board of Directors DUTIES: Roles will include working with the CPA to provide financial statements to the State Council, receive invoices, reimburse for expense reports, maintain financials using QuickBooks online, and other various financial duties for the State Council. HOURS P/ MO: 1 HOURS DURING SEC. HOURS P/ MO: 0 (8) NAME: 501(C)PA ADDRESS: 1152 N Buckner Blvd Unit 123 Dallas TX 75218 INVESTMENT/NOT: No DESCRIPTION: Foundation/Charitable Institution SD: 23/09/2025 CAPACITY: Board of Directors DUTIES: The board of directors for 501(C)PA are responsible for steering the organization toward its mission through strategic oversight, financial management, fundraising, and legal compliance. The board must balance governance with community engagement, ensuring 501(C)PA remains a trusted and impactful nonprofit in Albuquerque. For specific details on 501(C)PA's bylaws or tailored responsibilities, the organization's governing documents or a consultation with a nonprofit attorney in New Mexico would provide further clarity. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DURING SEC. HOURS P/ MO: 0-4 Hours
CRS (Client Relationship Summary) - RIA
Click below to view David Diller's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Diller'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 13, 2022 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 6301 Uptown Blvd Ne Suite 100, Albuquerque, NM 87110-4132RIA
BD
CRD#: 31194
Albuquerque, NM
Current
March 29, 2022 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 6301 Uptown Blvd Ne Suite 100, Albuquerque, NM 87110-4132RIA
BD
CRD#: 31194
Albuquerque, NM
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
Arizona(4/29/2022)
RR
Arkansas(4/29/2022)
RR
California(4/29/2022)
RR
Colorado(4/29/2022)
RR
Florida(4/29/2022)
RR
Georgia(4/29/2022)
RR
Hawaii(4/11/2024)
RR
Idaho(4/29/2022)
RR
Illinois(4/19/2024)
RR
Indiana(11/6/2025)
RR
Kentucky(1/2/2024)
RR
Maine(1/2/2024)
RR
Maryland(7/24/2023)
RR
Massachusetts(7/31/2024)
RR
Michigan(4/29/2022)
RR
Montana(4/29/2022)
RR
Nebraska(3/14/2023)
RR
Nevada(5/13/2022)
RR
New Hampshire(4/29/2022)
RR
New Mexico(4/12/2022)
IAR
New Mexico(4/13/2022)
RR
New York(4/29/2022)
RR
North Carolina(2/27/2024)
RR
Ohio(4/29/2022)
RR
Oklahoma(4/29/2022)
RR
Oregon(4/29/2022)
RR
Pennsylvania(4/29/2022)
RR
Rhode Island(3/28/2025)
RR
South Carolina(3/8/2024)
RR
Tennessee(4/29/2022)
RR
Texas(4/29/2022)
IAR
Texas(4/29/2022)
RR
Virginia(4/26/2023)
RR
Washington(4/29/2022)
RR
Wyoming(4/29/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/29/2022
General Securities Representative ExaminationGeneral 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
CRD#: 31194Albuquerque, NM 87110-4132TRUST BUT VERIFY
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