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Connie Lea Sherrill

Rbc Capital Markets, LLC

Dallas, TX

Dallas, TX

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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 2024-10-11
  • TX RA
    APPROVED
    Since 2024-10-11

Branch Locations

100 Crescent Court Suite 1500, Dallas, TX 75201-1871 • United States

Dallas, TX • 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
Rbc Wealth Management Dallas TX 06/2016 08/2018
Rbc Wealth Management (Through Talent Net) Dallas TX 03/2019 05/2020
Self (Keller Williams) Dallas TX 05/2022 05/2023
Self (License Park) Dallas TX 06/2023 01/2024
Rbc Capital Markets, Llc Dallas TX 02/2024 Present
Self Dallas TX 06/2020 04/2022
Self Dallas TX 09/2018 02/2019
  • 06/2016 → 08/2018
    Rbc Wealth Management
    Dallas, TX
  • 03/2019 → 05/2020
    Rbc Wealth Management (Through Talent Net)
    Dallas, TX
  • 05/2022 → 05/2023
    Self (Keller Williams)
    Dallas, TX
  • 06/2023 → 01/2024
    Self (License Park)
    Dallas, TX
  • 02/2024 → Present
    Rbc Capital Markets, Llc
    Dallas, TX
  • 06/2020 → 04/2022
    Self
    Dallas, TX
  • 09/2018 → 02/2019
    Self
    Dallas, TX
Previous Registrations
  • 2006-04-26 → 2006-11-13
    Rbc Capital Markets, Llc
    Dallas, TX
    Dallas, TX
  • 2004-09-16 → 2005-01-25
    Snowflake Capital
    Dallas, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-10-11
S63 Uniform Securities Agent State Law Examination 1996-08-07
  • S66 Uniform Combined State Law Examination
    2024-10-11
  • S63 Uniform Securities Agent State Law Examination
    1996-08-07
Other Names
  • Connie Lea Wiseman
  • Connie Lea Yorkwiseman
  • Connie Lea York-Wiseman
  • Connie Lea Sherill

View on SEC IAPD

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RETIREMENT ADVISORS, LLC · DALLAS, TX
7TH HARVEST INVESTMENTS · DALLAS, TX
ADVISOR RESOURCE COUNCIL · Dallas, TX
PRIME SENTRY WEALTH MANAGEMENT LLC · ADDISON, TX
OPENAIR FINANCIAL, LLC · Dallas, TX
GENEOS WEALTH MANAGEMENT, INC. · Addison, TX
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Addison, TX
KESTRA ADVISORY SERVICES, LLC · ADDISON, TX

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