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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_RES 2016-07-21
MT RA APPROVED 2013-10-23
  • TX RA
    APPROVED_RES
    Since 2016-07-21
  • MT RA
    APPROVED
    Since 2013-10-23

Branch Locations

101 River Drive North Suite 101, Great Falls, MT 59401-4200 • United States

Great Falls, MT • 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 Capital Markets, Llc Great Falls MT 10/2013 Present
Previous Registrations
  • 2011-01-03 → 2013-10-28
    Chester, MT
    Great Falls, MT
    Great Falls, MT
    Shelby, MT
    Havre, MT
    Billings, MT
    Great Falls, MT
    Chinook, MT
    Rudyard, MT
    Valier, MT
    Great Falls, MT
    Conard, MT
    Big Sandy, MT
    Great Falls, MT
  • 2005-06-30 → 2011-01-03
    Wells Fargo Investments, Llc
    Great Falls, MT
    Great Falls, MT
    Chester, MT
    Great Falls, MT
    Havre, MT
    Shelby, MT
Other Businesses

(1) FACE 53, LLC; ADDRESS: 908 CENTRAL AVE. GREAT FALLS, MT 59401; BUSINESS DESCRIPTION: COMMERCIAL REAL ESTATE; NOT INVESTMENT RELATED; START DATE: 10/2010; CAPACITY: OWNER-PASSIVE; DUTIES: LIAISON WITH TENANT; HOURS DEVOTED PER WEEK: .50; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: NONE (2) HERB WALTERMIRE COMMUNITY ENHANCEMENT FOUNDATION; ADDRESS: 1018 36TH AVE NE, GREAT FALLS, MT 59404; BUSINESS DESCRIPTION: SCHOLARSHIP AND COMMUNITY FUNDING; NOT INVESTMENT RELATED; START DATE: 04/27/2017; CAPACITY: BOARD OF DIRECTORS; DUTIES: FINANCING COMMITTEE; HOURS DEVOTED PER WEEK: .10; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: NONE; 3) NAME OF ENTITY: Robertson Properties LLC ADDRESS: 4008 17th Ave So, Great Falls, Montana, 59405 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: 01/04/2025 CAPACITY: Rental Property DUTIES: Owner - Lease and manage the property. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-02-15
S63 Uniform Securities Agent State Law Examination 1999-08-12
  • S65 Uniform Investment Adviser Law Examination
    2001-02-15
  • S63 Uniform Securities Agent State Law Examination
    1999-08-12

View on SEC IAPD

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