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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
ID RA APPROVED 2025-05-28
TX RA APPROVED_RES 2025-05-28
  • ID RA
    APPROVED
    Since 2025-05-28
  • TX RA
    APPROVED_RES
    Since 2025-05-28

Branch Locations

Eagle, ID • United States

Riggins, ID • United States

661 South Rivershore Lane Suite 200, Eagle, ID 83616-5397 • 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
OrganizationCityStateFromTo
Ubs Financial Services Inc. Phoenix AZ 05/1997 05/2025
Rbc Capital Markets, Llc Eagle ID 05/2025 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-07-23
S63 Uniform Securities Agent State Law Examination 1997-07-18
  • S65 Uniform Investment Adviser Law Examination
    1997-07-23
  • S63 Uniform Securities Agent State Law Examination
    1997-07-18

View on SEC IAPD

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