Dianne Marie Szabo

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	2022-10-27
OH	RA	APPROVED	2022-09-30

TX RA
APPROVED_RES

Since 2022-10-27
OH RA
APPROVED

Since 2022-09-30

Branch Locations

2 Equity Way Suite 200, Westlake, OH 44145 • United States

Westlake, OH • 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
Wells Fargo Advisors Llc	Westlake	OH	09/2014	11/2016
Wells Fargo Clearing Services, Llc	Westlake	OH	11/2016	09/2022
Rbc Capital Markets, Llc	Westlake	OH	09/2022	Present

09/2014 → 11/2016

Wells Fargo Advisors Llc

Westlake, OH
11/2016 → 09/2022

Wells Fargo Clearing Services, Llc

Westlake, OH
09/2022 → Present

Rbc Capital Markets, Llc

Westlake, OH

Previous Registrations

2014-09-22 → 2022-09-29

Wells Fargo Clearing Services, Llc

Westlake, OH
2012-08-23 → 2014-08-29

Pnc Wealth Management Llc

Cleveland, OH
2008-03-12 → 2012-07-30

Wells Fargo Clearing Services, Llc

Westlake, OH

Other Businesses

POWER OF ATTORNEY FOR MOTHER; INV RELATED; CLEVELAND, OH; START 8/2011; 0 HRS PER MONTH. LUCHITA MEXICAN RESTAURANT, NOT INV RELATED, CLEVELAND, OH, HOSTESS, START 1/1/2006, 10 HOURS PER MONTH, ZERO DURING TRADING, CUSTOMER SERVICE AND SEAT GUESTS. NOTARY PUBLIC, INV RELATED, WESTLAKE, OH, START: 1/2010. ORDAINED MINISTER, NOT INV RELATED, AUSTIN, TX, MINISTER, START 5/8/2017, 1 HOUR PER MONTH, ZERO DURING TRADING, PERFORM MARRIAGE SERVICES.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2012-09-24

S66 Uniform Combined State Law Examination

2012-09-24

View on SEC IAPD