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Cindy Lou Woolf

Rbc Capital Markets, LLC

Indianapolis, IN

Mccordsville, IN

CRD 1840348

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Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2023-02-21
  • IN RA
    APPROVED
    Since 2023-02-21

Branch Locations

8888 Keystone Crossing Suite 200, Indianapolis, IN 46240-4610 • United States

Mccordsville, IN • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc Indianapolis IN 11/2013 12/2022
Rbc Capital Markets, Llc Indianapolis IN 02/2023 Present
Previous Registrations
  • 2002-01-17 → 2022-12-14
    Ubs Financial Services Inc.
    Birmingham, MI
    Fort Wayne, IN
    Ft. Wayne, IN
    Indianapolis, IN
    Cleveland, OH
    Indianapolis, IN
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1988-08-15
  • S63 Uniform Securities Agent State Law Examination
    1988-08-15
Other Names
  • Cindy L Woolf

View on SEC IAPD

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