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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 2018-08-10
WI RA APPROVED 2018-08-10
  • TX RA
    APPROVED
    Since 2018-08-10
  • WI RA
    APPROVED
    Since 2018-08-10

Branch Locations

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

Cross Plains, 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
Morgan Stanley Smith Barney Llc Madison WI 06/2009 08/2018
Morgan Stanley Private Bank, N.A. New York NY 01/2015 08/2018
Rbc Capital Markets, Llc. Madison WI 08/2018 Present
City National Bank Madison WI 12/2020 Present
  • 06/2009 → 08/2018
    Morgan Stanley Smith Barney Llc
    Madison, WI
  • 01/2015 → 08/2018
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 08/2018 → Present
    Madison, WI
  • 12/2020 → Present
    City National Bank
    Madison, WI
Previous Registrations
  • 2009-06-01 → 2018-08-13
    Middleton, WI
    Madison, WI
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Madison, WI
  • 2006-09-22 → 2007-04-02
    Morgan Stanley Dw Inc.
    Madison, WI
    Madison, WI
Other Businesses

(1) GOOD KARMA BROADCASTING- ESPN MADISON RADIO; EMPLOYEE; FOOTBALL TALK SHOW FOR TWO HOURS ONCE A WEEK; 2 AFTER BUSINESS HOURS; 0 DURING BUSINESS HOURS; 08/2002 (2) ESPN MADISON RADIO; ADDRESS: ESPN MADISON, 15 N. PINCKNEY ST, MADISON, WI 53703; NOT INVESTMENT RELATED: BUSINESS DESCRIPTION: SPORTS TALK RADIO; CAPACITY: INDEPENDENT CONTRACTOR; START DATE: 8/1/2004; DUTIES: DISCUSS PACKER/BADGER FOOTBALL; HOURS DEVOTED PER MONTH: 2; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. 3) NAME OF ENTITY: NFL Alumni Caring for Kids-Madison Chapter ADDRESS: 3000 Midlantic Drive Mount Laurel, New Jersey INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Charity Organization CAPACITY: Director START DATE: 01/02/12 DUTIES: Help organize annual golf outing fundraiser HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-03-01
  • S66 Uniform Combined State Law Examination
    2002-03-01
Other Names
  • Derek Engler

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