Nancy Jean Sparks

Rbc Capital Markets, LLC

CRD 1998650

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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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2025-03-03
PA	RA	APPROVED	2019-04-27

TX RA
APPROVED_RES

Since 2025-03-03
PA RA
APPROVED

Since 2019-04-27

Branch Locations

300 State Street Suite 101, Erie, PA 16507-1428 • United States

Erie, PA • 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

Organization	City	State	From	To
Rbc Capital Markets Corporation	Erie	PA	03/2008	Present

03/2008 → Present

Rbc Capital Markets Corporation

Erie, PA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2019-04-27
S63	Uniform Securities Agent State Law Examination	2000-07-29

S66 Uniform Combined State Law Examination

2019-04-27
S63 Uniform Securities Agent State Law Examination

2000-07-29

Other Names

Nancy Jean Fall

View on SEC IAPD

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