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Detailed Report
DANIEL JOHN LEGAN
CRD#: 2360114
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Investment Adviser
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Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 74-199 EL PASEO DRIVE
SUITE 102
PALM DESERT, CA 92260-4148
Registration History
19952000200520102015202020252 FIRMS2006 - 2007 (<1 year)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2010 (<1 year)2 FIRMS2010 - 2015 (5 years)2 FIRMS2015 - 2024 (8 years)2 FIRMS2024 - Present (<1 year)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2001 - 2006 (4 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1999 - 2001 (2 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1994 - 2000 (5 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)1993 - 1994 (1 year)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2002 - 2006 (4 years)
Disclosure(s)
View By:
1/22/2007
Customer Dispute
Closed-No Action
5/17/2005
Customer Dispute
Settled
8/17/2001
Customer Dispute
Closed-No Action
License(s)

State Registrations

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Arizona 5/8/2024
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Nevada 5/8/2024
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California 5/8/2024
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New York 5/8/2024
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California 5/8/2024
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North Carolina 5/8/2024
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Colorado 8/20/2024
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South Dakota 5/8/2024
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Florida 5/8/2024
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Tennessee 5/17/2024
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Idaho 5/9/2024
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Texas 5/8/2024
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Illinois 5/16/2024
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Texas 5/8/2024
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Indiana 5/13/2024
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Utah 5/8/2024
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Michigan 5/8/2024
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Virginia 5/8/2024

SRO Registrations

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 BOX Exchange LLC
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 Cboe BYX Exchange, Inc.
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 Cboe BZX Exchange, Inc.
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 Cboe C2 Exchange, Inc.
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 Cboe EDGA Exchange, Inc.
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 Cboe EDGX Exchange, Inc.
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 Cboe Exchange, Inc.
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 FINRA
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 Investors' Exchange LLC
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 Long-Term Stock Exchange, Inc.
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 MEMX LLC
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 MIAX PEARL, LLC
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 NYSE American LLC
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 NYSE Arca, Inc.
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 NYSE Chicago, Inc.
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 NYSE National, Inc.
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 Nasdaq BX, Inc.
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 Nasdaq GEMX, LLC
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 Nasdaq ISE, LLC
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 Nasdaq PHLX LLC
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 Nasdaq Stock Market
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 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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RBC CAPITAL MARKETS, LLC (CRD#:31194)
74-199 EL PASEO DRIVE SUITE 102, PALM DESERT, CA 92260-4148
Rancho Mirage, CA
Registered with this firm since 5/8/2024
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RBC CAPITAL MARKETS, LLC (CRD#:31194)
74-199 EL PASEO DRIVE SUITE 102, PALM DESERT, CA 92260-4148
Rancho Mirage, CA
Registered with this firm since 5/8/2024
Previous Registration(s)
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 06/30/2015 - 05/15/2024 WELLS FARGO ADVISORS (CRD#:19616) PALM DESERT, CA
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 06/30/2015 - 05/15/2024 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) PALM DESERT, CA
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 05/12/2010 - 07/15/2015 UBS FINANCIAL SERVICES INC. (CRD#:8174) INDIAN WELLS, CA
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 05/12/2010 - 07/15/2015 UBS FINANCIAL SERVICES INC. (CRD#:8174) INDIAN WELLS, CA
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 06/01/2009 - 05/18/2010 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) INDIAN WELLS, CA
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 06/01/2009 - 05/18/2010 MORGAN STANLEY SMITH BARNEY (CRD#:149777) INDIAN WELLS, CA
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 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) PALM DESERT, CA
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 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) PALM DESERT, CA
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 09/22/2006 - 04/02/2007 MORGAN STANLEY (CRD#:7556) PALM DESERT, CA
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 09/22/2006 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) PALM DESERT, CA
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 02/11/2002 - 10/03/2006 UBS FINANCIAL SERVICES INC. (CRD#:8174) PALM DESERT, CA
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 11/19/2001 - 10/03/2006 UBS FINANCIAL SERVICES INC. (CRD#:8174) PALM DESERT, CA
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 11/22/1999 - 11/27/2001 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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 10/27/1994 - 08/23/2000 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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 07/26/1993 - 11/08/1994 CHARLES SCHWAB & CO., INC. (CRD#:5393) WESTLAKE, TX
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.