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Marlys Nielsen Hafner

RBC Capital Markets, LLC

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About Marlys Nielsen Hafner

Marlys Hafner is a financial advisor with over 25 years of experience in the industry. Marlys is currently registered with RBC Capital Markets, LLC and has been with them since 2000. Marlys has a Series 6, Series 99 and SIE licenses. Prior to joining RBC Capital Markets, LLC, Marlys was employed with Pruco Securities Corporation in Newark, NJ. Marlys is specialized in providing financial planning, portfolio management, and investment advisory services to a wide range of clients.

Firm Information

Marlys Hafner is currently registered with RBC Capital Markets, LLC. RBC Capital Markets, LLC is a Limited Liability Company formed in 2010 and headquartered in New York, NY. The firm is a Registered Investment Advisor with the SEC and in all 50 states, as well as Puerto Rico and the Virgin Islands. RBC Capital Markets, LLC offers a wide range of advisory services, including financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses and individuals, and portfolio management for pooled investment vehicles. The firm serves a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension and profit-sharing plans, and pooled investment vehicles. RBC Capital Markets, LLC manages more than $50 billion in assets.
RBC Capital Markets, LLC

200 VESEY ST.

NEW YORK, NY 10281

$259.96B

Assets Under Management

1,784

Total Clients

4,423

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds

Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Marlys Hafner’s Registration & Firm History

MN

11/13/2000 - Present

RBC Capital Markets, LLC (MINNEAPOLIS MN)

NJ

09/10/1997 - 05/31/2000

PRUCO SECURITIES CORPORATION (NEWARK NJ)

NJ

01/01/1997 - 03/05/1997

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)

NJ

08/15/1995 - 01/01/1997

PRUCO SECURITIES CORPORATION (NEWARK NJ)

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Licenses & Designations

BC

Issued 10/09/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/14/1995

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Marlys Nielsen Hafner.
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