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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2020-11-24
TX RA APPROVED 2020-11-24
  • MO RA
    APPROVED
    Since 2020-11-24
  • TX RA
    APPROVED
    Since 2020-11-24

Branch Locations

One North Brentwood Suite 900, St. Louis, MO 63105-3926 • United States

St Louis, MO • 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
Wells Fargo Advisors, Llc Clayton MO 03/2012 11/2016
Wells Fargo Clearing Services, Llc Clayton MO 11/2016 11/2020
Rbc Capital Markets, Llc St. Louis MO 11/2020 Present
Previous Registrations
Other Businesses

1) HALO INVESTMENTS LLC, UNIVERSITY CITY, MO NOT INVESTMENT RELATED, REHAB OF RESIDENTIAL REAL ESTATE, OWNER, TIME SPENT: 2 HOUR/MONTH, NONE DURING TRADING HOURS. ASTHMA ALLERGY FOUNDATION ST LOUIS; NOT INVESTMENT RELATED; ST LOUIS, MO; TREASURER; START DATE 1/1/18; 1 HOUR PER MONTH / 0 DURING TRADING HOURS. LADUE SCHOOL DISTRICT, NOT INV RELATED, LADUE, MO, FINANCE COMMITTEE MEMBER, START 8/1/2016, 2 HOURS PER MONTH, ZERO DURING TRADING, HIRING AND FIRING OF TEACHERS AND STAFF, ASSISTING WITH DECISIONS REGARDING ENHANCEMENTS, NEW BUILDINGS, EQUIPMENT, AND COMPUTERS FOR THE CLASSROOM. 2)Name: HALO Investments, LLC Address: 200 Wenneker Drive St Louis, MO 63124 Business Description: Owning Rental Property Business is not investment related Projected Start Date: 03/08/05 Capacity: Sole Proprietor Duties Performed: Owning Rental property Devoted to this OBA per Month: 1 Hours Devoted to this OBA during business hours: 0 (3) NAME OF ENTITY: St Louis Zoo Planned Giving Committee ADDRESS: 1 Government Drive St Louis MO 63110 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Zoo CAPACITY: Committee/Council Member (not associated with the Board of Directors) START DATE: 10/21/21 DUTIES: Discuss planned giving HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 4) NAME OF ENTITY: Saint Louis University ADDRESS: 1 N. Grand Blvd Saint Louis, MO 63103 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Higher Education START DATE: 01.08.24 CAPACITY: Other - Adjunct Instructor DUTIES: Teaching university class to computer science, math, engineering, and finance students on various methods of price pattern recognition, database creation, methodology calculations, valuations, and thus visual presentation of data. HOURS DEVOTED PER MONTH: 2.5 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-06-01
S63 Uniform Securities Agent State Law Examination 1992-06-16
  • S66 Uniform Combined State Law Examination
    2012-06-01
  • S63 Uniform Securities Agent State Law Examination
    1992-06-16

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