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Brett Thorne

President, RBC Clearing & Custody at RBC Capital Markets

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
4
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Brett Thorne is President, RBC Clearing & Custody of RBC Capital Markets, LLC, a New York investment adviser managing $310B. Brett Thorne has a current broker registration and no current investment-adviser registration and has passed the Series 7, Series 24, SIE and Series 99TO.

Role at RBC Capital Markets

Title on Schedule A
President, RBC Clearing & Custody
Control
Brett Thorne is a control person of RBC Capital Markets.
Ownership
An individual ownership band is not available in the source record.
Tenure
Brett Thorne has held the filed role since August 2016.

The firm

RBC Capital Markets, LLC
New York, NY

Form ADV filed 30 September 2026

$310B AUM283,910 clients5,908 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed Series 99TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 24 · 2014
  4. Passed Series 7 · 2010

Registrations and exams

Broker registration; no current adviser registration. Brett Thorne has passed 4 qualifying exams.

Examinations

Series 2422 October 2014
Name
General Securities Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 714 October 2010
Name
General Securities Representative Examination

Individual record

Full name
Brett Lane Thorne
CRD
2523268
Firm
RBC Capital Markets, LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Brett Thorne work?

Brett Thorne has been President, RBC Clearing & Custody of RBC Capital Markets, LLC since August 2016, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 30 September 2026

Does Brett Thorne have a current investment-adviser registration?

Brett Thorne has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Brett Thorne passed?

Brett Thorne has passed 4 licensing exams: the Series 7, Series 24, SIE and Series 99TO. The earliest, the Series 7, was passed in October 2010.

Source: IAPD individual record, checked 17 October 2026

Leadership at RBC Capital Markets

Sources

  1. IAPD individual record, CRD 2523268. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of RBC Capital Markets, LLC, filed 30 September 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Brett Thorne or RBC Capital Markets, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.