Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Michael Wolfe is a registered representative with RBC Capital Markets, LLC in Minneapolis, MN. David has been in the securities industry since 1986 and has experience working with individuals, high-net-worth individuals, corporations, and various institutional clients. Prior to joining RBC Capital Markets, LLC, David was registered with Gradient Securities, LLC and Thrivent Investment Management Inc. David has a broad range of experience and expertise in securities trading, investment management, and financial planning. David is dedicated to providing clients with personalized investment advice and guidance.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
MN
04/15/2019 - Present
RBC Capital Markets, LLC (MINNEAPOLIS MN)
MN
01/23/2017 - 03/29/2019
GRADIENT SECURITIES, LLC (ARDEN HILLS MN)
MN
01/06/2016 - 12/31/2016
THRIVENT INVESTMENT MANAGEMENT INC. (MINNEAPOLIS MN)
MN
02/29/2008 - 11/24/2015
RBC CAPITAL MARKETS, LLC (MINNEAPOLIS MN)
MN
02/06/2004 - 02/29/2008
RBC CAPITAL MARKETS CORPORATION (MINNEAPOLIS MN)
NY
07/27/1998 - 02/06/2004
RBC DAIN RAUSCHER INC. (NEW YORK NY)
NY
03/02/1998 - 06/15/1998
DAIN RAUSCHER INCORPORATED (NEW YORK NY)
NA
10/23/1985 - 03/02/1998
DAIN RAUSCHER INCORPORATED
BOTH
Issued 04/08/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/18/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/26/2021
Series 4 - Registered Options Principal Examination
BC
Issued 04/27/2017
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/20/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/19/1985
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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