Charles Adam Tepper

Rbc Capital Markets, LLC

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Current Employers

Rbc Capital Markets, Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-10-16

NY RA
APPROVED

Since 2021-10-16

Branch Locations

328 Newman Springs Road Suite 380, Red Bank, NJ 07701-5687 • 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

Organization	City	State	From	To
Rbc Capital Markets Llc	Red Bank	NJ	05/2011	Present

05/2011 → Present

Rbc Capital Markets Llc

Red Bank, NJ

Previous Registrations

2005-01-14 → 2009-02-13

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY

New York, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-01-13
S63	Uniform Securities Agent State Law Examination	1998-04-16

S65 Uniform Investment Adviser Law Examination

2005-01-13
S63 Uniform Securities Agent State Law Examination

1998-04-16

Other Names

Charlie Tepper
Charles A Tepper

View on SEC IAPD

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