AdFi
DJ

David J Barnes

Investment Adviser Representative at RBC CAPITAL MARKETS, LLC

Bel Air, MDCRD #2390785Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
33 yrs
States Registered
35 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 35 states
ArizonaCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaIdahoIllinoisIndianaIowaLouisianaMaineMarylandMassachusettsMichiganNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaTennesseeTexasUtahVirgin IslandsVirginiaWashingtonWest Virginia
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 11/10/1993
Series 63
Uniform Securities Agent State Law Examination
Passed 10/22/1993
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 1/26/2005
Series 7
General Securities Representative Examination
Passed 10/4/1993

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
5/10/2024Bel Air, MD
RBC CAPITAL MARKETS, LLCCurrent
5/10/2024Baldwin, MD
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
1/7/19945/20/2024Bel Air, MD

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. David J Barnes 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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