Best Investors Account Sign in

Lisa Dawn Dupree

Rbc Capital Markets, LLC

Minneapolis, MN

Coon Rapids, MN

Claim This Profile
Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2022-03-01
  • MN RA
    APPROVED
    Since 2022-03-01

Branch Locations

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

Coon Rapids, 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 Minneapolis MN 01/2011 11/2016
Wells Fargo Clearing Services, Llc Minneapolis MN 11/2016 02/2022
Rbc Capital Markets, Llc Minneapolis MN 02/2022 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-01-11
S63 Uniform Securities Agent State Law Examination 2012-04-26
  • S66 Uniform Combined State Law Examination
    2013-01-11
  • S63 Uniform Securities Agent State Law Examination
    2012-04-26
Other Names
  • Lisa Dawn Halden

View on SEC IAPD

Other Firms

HAYS FINANCIAL GROUP, LLC
THRIVENT ASSET MANAGEMENT, LLC
THRIVENT PRIVATE INVESTMENTS
THRIVENT FINANCIAL FOR LUTHERANS
CETERA INVESTMENT ADVISERS LLC
LPL FINANCIAL LLC
VAN CLEMENS WEALTH MANAGEMENT, LLC
LOGAN PARK WEALTH MANAGEMENT

Other Investors

Matthew William Hogan
GREGORY ALAN KLEIN
Bryon Andrew Eggan
JAMES P MILEY
ROBYN MARY JOYNER
Cole Hendrickson Carter
Casey Mitchell
Jennifer Elizabeth Finn

Other Offices

HAYS FINANCIAL GROUP, LLC · MINNEAPOLIS, MN
THRIVENT ASSET MANAGEMENT, LLC · MINNEAPOLIS, MN
THRIVENT PRIVATE INVESTMENTS · MINNEAPOLIS, MN
THRIVENT FINANCIAL FOR LUTHERANS · MINNEAPOLIS, MN
CETERA INVESTMENT ADVISERS LLC · MINNEAPOLIS, MN
THRIVENT ASSET MANAGEMENT, LLC · Minneapolis, MN
LPL FINANCIAL LLC · MINNEAPOLIS, MN
THRIVENT ASSET MANAGEMENT, LLC · Minneapolis, MN

More in Minneapolis, MN

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor