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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-03-29
WI RA APPROVED 2021-03-29
  • TX RA
    APPROVED
    Since 2021-03-29
  • WI RA
    APPROVED
    Since 2021-03-29

Branch Locations

10 E. Doty Street, Ste 1000, Madison, WI 53703 • United States

Waunakee, WI • 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
Johnson Bank Madison WI 03/2013 09/2018
Invest Financial Corp. Tampa FL 03/2013 09/2018
Lpl Financial Llc Madison WI 02/2018 09/2018
Charles Schwab & Co., Inc. Middleton WI 06/2019 03/2021
Charles Schwab Bank Middleton WI 06/2019 03/2021
Unemployed Madison WI 09/2018 05/2019
Rbc Capital Markets, Llc Madison WI 03/2021 Present
City National Bank Madison WI 05/2023 Present
  • 03/2013 → 09/2018
    Johnson Bank
    Madison, WI
  • 03/2013 → 09/2018
    Invest Financial Corp.
    Tampa, FL
  • 02/2018 → 09/2018
    Madison, WI
  • 06/2019 → 03/2021
    Middleton, WI
  • 06/2019 → 03/2021
    Charles Schwab Bank
    Middleton, WI
  • 09/2018 → 05/2019
    Unemployed
    Madison, WI
  • 03/2021 → Present
    Madison, WI
  • 05/2023 → Present
    City National Bank
    Madison, WI
Previous Registrations
  • 2019-06-18 → 2020-09-30
    Middleton, WI
    Brookfield, WI
  • 2018-02-14 → 2018-10-02
    Madison, WI
    Madison, WI
  • 2013-03-04 → 2018-02-16
    Invest Financial Corporation
    Racine, WI
    Madison, WI
    Madison, WI
    Appleton, WI
  • 2009-06-01 → 2012-02-16
    Madison, WI
    Middleton, WI
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Madison, WI
  • 2006-06-13 → 2007-04-02
    Morgan Stanley Dw Inc.
    Madison, WI
Other Businesses

1) NAME: Steeplechase Condominium Association Non-Investment related ADDRESS: Steeplechase Drive Waunakee, WI 53597 Nature of OBA: Condominium Association Position/Title/Relationship: Committee/Council Member (not associated with the Board of Directors) Start Date: 07/27/22 Time Devoted: 0.25 0 time during securities trading hours Duties: Auditing spending, sitting in on investment committee meetings. We discuss the various CD investments owned by the association. In some cases the treasurer will recommend buying or selling and asking the group for opinions (2) NAME OF ENTITY: Bethel Lutheran Church ADDRESS: 312 Wisconsin Ave, Madison, Wisconsin 53703 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Religious Institution START DATE: Jan 14, 2026 CAPACITY: Committee/Council Member DUTIES: Sitting on the Bethel Foundation investment committee (Committee Member) HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-11-15
S63 Uniform Securities Agent State Law Examination 1989-02-08
  • S66 Uniform Combined State Law Examination
    2005-11-15
  • S63 Uniform Securities Agent State Law Examination
    1989-02-08
Other Names
  • Kristin A Wiebe
  • Kristin Anne Wiebe

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