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Daniel Patrick Thompson

Investment Adviser Representative at RBC CAPITAL MARKETS, LLC

Indianapolis, INCRD #4807170Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
22 yrs
States Registered
32 states
Exams Passed
6

Registrations & licenses

Registration type
Dual-registered
Registered in 32 states
AlabamaArizonaCaliforniaColoradoDistrict of ColumbiaFloridaGeorgiaIllinoisIndianaIowaKentuckyMarylandMassachusettsMichiganMinnesotaMississippiMissouriMontanaNevadaNew JerseyNew MexicoNew YorkNorth CarolinaOhioPennsylvaniaSouth CarolinaTennesseeTexasVirgin IslandsWashingtonWisconsinWyoming
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 10/14/2004
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 7/11/2013
Series 7
General Securities Representative Examination
Passed 7/30/2004
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 8/12/2011
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 7/7/2011

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

RBC Capital Markets, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

RBC CAPITAL MARKETS, LLCCurrent
10/28/2014Indianapolis, IN
RBC CAPITAL MARKETS, LLCCurrent
10/28/2014Carmel, IN
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
10/18/200410/29/2014Indianapolis, IN

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Daniel Patrick Thompson has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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