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Anne Uy Fiato

Rbc Capital Markets, LLC

La Jolla, CA

San Diego, CA

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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_RES 2021-04-07
CA RA APPROVED 2002-10-16
  • TX RA
    APPROVED_RES
    Since 2021-04-07
  • CA RA
    APPROVED
    Since 2002-10-16

Branch Locations

4250 Executive Square Suite 800, La Jolla, CA 92037-9103 • United States

San Diego, CA • 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
Rbc Capital Markets, Llc La Jolla CA 03/2008 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-11-02
S63 Uniform Securities Agent State Law Examination 1991-06-25
  • S65 Uniform Investment Adviser Law Examination
    1995-11-02
  • S63 Uniform Securities Agent State Law Examination
    1991-06-25
Other Names
  • Anne Yu
  • Anne Cabagnan Uy

View on SEC IAPD

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