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Christy Mcduffie Cerralvo

Rbc Capital Markets, LLC

Dallas, TX

Dallas, TX

CRD 4073432

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Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2005-02-18
  • TX RA
    APPROVED
    Since 2005-02-18

Branch Locations

200 Crescent Court Suite 1500, Dallas, TX 75201 • 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 Capital Markets Corporation Dallas TX 10/2004 Present
  • 10/2004 → Present
    Rbc Capital Markets Corporation
    Dallas, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-08-28
  • S66 Uniform Combined State Law Examination
    2001-08-28
Other Names
  • Christy Lynn Cerralvo
  • Christy Lynn Mcduffie
  • Christy Lynn Cerralvo

View on SEC IAPD

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