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Shari Miyeko Lum

Rbc Capital Markets, LLC

Minneapolis, MN

Minneapolis, MN

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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2022-04-05
  • MN RA
    APPROVED
    Since 2022-04-05

Branch Locations

250 Nicollet Mall Suite 2000, 16Th Floor, Minneapolis, MN 55401-1931 • United States

Minneapolis, MN • 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 Seattle WA 06/2012 11/2016
Wells Fargo Clearing Services, Llc Seattle WA 11/2016 04/2022
Rbc Capital Markets, Llc Minneapolis MN 04/2022 Present
Previous Registrations
Other Businesses

EXECUTOR FOR GRANDMOTHER, INV RELATED, MINNEAPOLIS, MN, START: 12/14/2021, 1 HR/MONTH, 0 HRS DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-08-27
S63 Uniform Securities Agent State Law Examination 2002-02-08
  • S65 Uniform Investment Adviser Law Examination
    2012-08-27
  • S63 Uniform Securities Agent State Law Examination
    2002-02-08
Other Names
  • Shari Miyeko Lum
  • Shari Miyeko Lum-Decastro

View on SEC IAPD

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