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Richard Lee Stein

Rbc Capital Markets, LLC

Vienna, VA

Haymarket, VA

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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2020-06-12
TX RA APPROVED 2020-05-22
  • VA RA
    APPROVED
    Since 2020-06-12
  • TX RA
    APPROVED
    Since 2020-05-22

Branch Locations

8010 Towers Crescent Drive 4Th Floor, Vienna, VA 22182 • United States

Haymarket, VA • 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 Washington DC 01/2012 05/2020
Rbc Capital Markets, Llc Washington DC 05/2020 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-02-17
S63 Uniform Securities Agent State Law Examination 1990-02-23
  • S65 Uniform Investment Adviser Law Examination
    2006-02-17
  • S63 Uniform Securities Agent State Law Examination
    1990-02-23
Other Names
  • Rich Stein

View on SEC IAPD

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Other Offices

OSAIC WEALTH, INC. · VIENNA, VA
CAPITOL PRIVATE WEALTH GROUP LLC · VIENNA, VA
AMERIPRISE FINANCIAL SERVICES, LLC · VIENNA, VA
PNC WEALTH MANAGEMENT LLC · VIENNA, VA
RETIREMENT RESEARCHER, LLC · TYSONS, VA
MCLEAN ASSET MANAGEMENT CORP. · TYSONS, VA
KIRK CAPITAL ADVISORS LLC · VIENNA, VA
ATEGRA CAPITAL MANAGEMENT, LLC · VIENNA, VA

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