Gary A Peterson

Current Employers

Rbc Capital Markets, Llc

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

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2015-10-21
TX	RA	APPROVED	2015-10-21

CO RA
APPROVED

Since 2015-10-21
TX RA
APPROVED

Since 2015-10-21

Branch Locations

5251 Dtc Parkway Suite 1200, Greenwood Village, CO 80111-2737 • United States

Castle Rock, CO • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Rbc Capital Markets, Llc	Greenwood Village	CO	10/2015	Present
City National Bank	Greenwood Village	CO	08/2018	Present

10/2015 → Present

Rbc Capital Markets, Llc

Greenwood Village, CO
08/2018 → Present

City National Bank

Greenwood Village, CO

Previous Registrations

2009-09-11 → 2015-10-29

Morgan Stanley

Denver, CO
2006-05-12 → 2009-09-15

Chase Investment Services Corp.

Highlands Ranch, CO

Littleton, CO

Englewood, CO

Littleton, CO

Littleton, CO

Littleton, CO
2004-08-17 → 2006-05-08

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Denver, CO

Denver, CO

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-08-16

S66 Uniform Combined State Law Examination

2004-08-16

View on SEC IAPD

Current Employers

Rbc Capital Markets, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

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