Erie, PA State Street Office

Team
Updated today
RBC Capital Markets logo

RBC Capital Markets

Institution

Firm-wide stats for RBC Capital Markets

Total advisors

3,825

Across 401 offices

Clients per advisor

72 Low

Avg AUM per client

$1,017,425 Very High

HNW client ratio

4% Very Low

About

RBC Wealth Management, a division of RBC Capital Markets, LLC, serves a broad client base that includes individual investors (both non‑HNW and high‑net‑worth), institutional clients, pension and profit‑sharing plans, corporations, and charitable organizations. It offers multiple wrap fee advisory programs—RBC Advisor, Portfolio Focus, RBC Unified Portfolio, Consulting Solutions, and a Managed Account Program—providing discretionary and non‑discretionary portfolio management, financial planning, custody, and brokerage services.

The firm tailors strategies to each client’s Advisory Risk Profile and implements portfolios through a mix of in‑house and third‑party Investment Managers, Model Providers, and an Overlay Manager (either RBC WM or Envestnet), with choices for rebalancing frequency, tax‑management, and responsible‑investing screens. Program accounts are administered as unified or sleeve‑based structures (RBC UP) and may include fund share‑class conversions, cash sweep options, and alternative investments or annuities as described in the brochure.

RBC’s capital‑markets footprint and affiliated capabilities are notable features: RBC Capital Markets is registered with the CFTC as a futures commission merchant and as a swap firm, the firm’s affiliated asset managers (for example, RBC GAM – U.S. and RBC Rochdale) serve as Investment Managers and Model Providers, and the firm makes alternative investments (including feeder‑fund structures) and pooled vehicles available to clients. The brochure also discloses municipal‑related activities and regulatory matters and describes integrated lending and cash‑sweep arrangements with affiliated banks, all of which are identified as potential conflicts and are disclosed in the firm’s materials.

Based on RBC Capital Markets

Expertise

Tax-loss harvesting ESG / Sustainable investing Private / alternative investments Concentrated stock management Wealth management

Based on RBC Capital Markets

Occupation focus

Executive Founder/Business Owner Retired Financial Professional

Based on RBC Capital Markets

Demographic focus

Approaching retirement HENRY (High Earners, Not Rich Yet)

Based on RBC Capital Markets

Location

300 State Street, Suite 101

Erie PA 16507-1428

Advisors at this office

7

Advisors at this office

user avatar

Mark L

Series 63, Series 65

Erie, PA

RBC Capital Markets

Mark Lucas is a financial advisor with RBC Capital Markets in Erie, PA, holding Series 63 and Series 65 licenses and bringing 40 years of industry experience. He previously worked at Wells Fargo Clearing and Wells Fargo Advisors LLC for a combined 14 years. Outside of his advisory work, he owns a racehorse at Presque Isle Downs. RBC Wealth Management serves a diverse client base including individual investors, institutions, pension plans, corporations, and charitable organizations. The firm offers a range of advisory programs featuring discretionary and non-discretionary portfolio management, financial planning, and brokerage services, with strategies tailored to each client’s risk profile.

Tax-loss harvesting ESG / Sustainable investing Private / alternative investments Concentrated stock management Wealth management Executive Founder/Business Owner Retired Financial Professional Approaching retirement HENRY (High Earners, Not Rich Yet)
user avatar

George D

Series 63, Series 66

Erie, PA

RBC Capital Markets

George Dusckas Jr. is a financial advisor with RBC Capital Markets in Erie, PA, holding Series 63 and Series 66 licenses, and has 43 years of industry experience. He has been with RBC Capital Markets since 2008. Outside of his advisory role, Dusckas serves on several nonprofit boards, including Asbury Woods Partnership, United Way of Erie County, Erie Club, and Crime Victims of Erie County, focusing on environmental education, social services, and victim advocacy. RBC Wealth Management, a division of RBC Capital Markets, LLC, serves a diverse client base including individual investors, institutions, pension plans, and charitable organizations. The firm offers tailored investment strategies through various advisory programs, utilizing both in-house and third-party managers, and provides integrated wealth management, financial planning, and brokerage services.

Tax-loss harvesting ESG / Sustainable investing Private / alternative investments Concentrated stock management Wealth management Executive Founder/Business Owner Retired Financial Professional Approaching retirement HENRY (High Earners, Not Rich Yet)
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Michael K

Series 63, Series 66

Erie, PA

RBC Capital Markets

Michael Keim is a financial advisor with RBC Capital Markets in Erie, PA, holding Series 63 and Series 66 credentials and bringing 32 years of industry experience. He has worked at RBC Capital Markets since 2008 and at City National Bank since 2022. Outside of his advisory role, Keim serves as head golf coach at Cathedral Preparatory School and participates as a committee member helping manage finances for the Mercy Center for Women. RBC Wealth Management, a division of RBC Capital Markets, serves a diverse client base including individual investors, institutions, and charitable organizations. The firm offers comprehensive advisory programs with customized portfolio management, financial planning, and integrated investment options tailored to clients' risk profiles.

Tax-loss harvesting ESG / Sustainable investing Private / alternative investments Concentrated stock management Wealth management Executive Founder/Business Owner Retired Financial Professional Approaching retirement HENRY (High Earners, Not Rich Yet)
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J P

Series 63, Series 65

Erie, PA

RBC Capital Markets

J Pepper is a financial advisor at RBC Capital Markets with Series 63 and Series 65 designations and 47 years of industry experience. He has been with RBC Capital Markets since 2012. Outside of his advisory role, Pepper serves as a commissioner and board member for several nonprofit and historical organizations in Pennsylvania, including the Pennsylvania Historical and Museum Commission and the Flagship Niagara League. RBC Wealth Management, a division of RBC Capital Markets, serves a diverse client base including individual investors, institutions, and charitable organizations. The firm offers tailored investment strategies with a range of advisory programs and integrates both in-house and third-party managers to implement client portfolios.

Tax-loss harvesting ESG / Sustainable investing Private / alternative investments Concentrated stock management Wealth management Executive Founder/Business Owner Retired Financial Professional Approaching retirement HENRY (High Earners, Not Rich Yet)
user avatar

Nancy S

Series 63, Series 66

Erie, PA

RBC Capital Markets

Nancy Sparks is a financial advisor with RBC Capital Markets in Erie, PA, holding Series 63 and Series 66 licenses and bringing 25 years of industry experience. She has been with RBC Capital Markets Corporation since 2008. RBC Wealth Management, a division of RBC Capital Markets, serves individual investors, institutional clients, pension and profit-sharing plans, corporations, and charitable organizations. The firm offers a range of advisory programs that provide portfolio management, financial planning, custody, and brokerage services tailored to clients' risk profiles.

Tax-loss harvesting ESG / Sustainable investing Private / alternative investments Concentrated stock management Wealth management Executive Founder/Business Owner Retired Financial Professional Approaching retirement HENRY (High Earners, Not Rich Yet)
user avatar

Ana S

Series 63, Series 66

Erie, PA

RBC Capital Markets

Ana Swedberg is a financial advisor at RBC Capital Markets with 22 years of industry experience. She has been with RBC Capital Markets since 2011 and holds Series 63 and Series 66 credentials. RBC Wealth Management, a division of RBC Capital Markets, serves a diverse client base including individual investors, institutional clients, pension and profit-sharing plans, corporations, and charitable organizations. The firm offers multiple advisory programs featuring discretionary and non-discretionary portfolio management, financial planning, custody, and brokerage services, with portfolio strategies tailored to each client’s risk profile.

Tax-loss harvesting ESG / Sustainable investing Private / alternative investments Concentrated stock management Wealth management Executive Founder/Business Owner Retired Financial Professional Approaching retirement HENRY (High Earners, Not Rich Yet)
user avatar

Charles C

Series 63, Series 65

Erie, PA

RBC Capital Markets

Charles Caryl is a financial advisor with RBC Capital Markets in Erie, PA, holding Series 63 and Series 65 licenses and bringing 25 years of industry experience. He has been with RBC Capital Markets Corporation since 2008. Outside of his advisory role, he serves on the Board of Directors and as Treasurer for the Jefferson Education Society, an adult education and think tank organization. RBC Wealth Management, a division of RBC Capital Markets, serves a wide range of clients including individual investors, institutions, pension plans, corporations, and charitable organizations. The firm offers various advisory programs providing portfolio management, financial planning, custody, and brokerage services tailored to clients’ risk profiles.

Tax-loss harvesting ESG / Sustainable investing Private / alternative investments Concentrated stock management Wealth management Executive Founder/Business Owner Retired Financial Professional Approaching retirement HENRY (High Earners, Not Rich Yet)
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