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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 2019-02-01
  • TX RA
    APPROVED
    Since 2019-02-01

Branch Locations

2150 Town Square Place Suite 310, Sugar Land, TX 77479-1278 • United States

Sugar Land, TX • 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. Sugar Land TX 04/2003 01/2019
Rbc Capital Markets, Llc. Sugar Land TX 01/2019 Present
City National Bank Houston TX 08/2019 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-01-22
  • S66 Uniform Combined State Law Examination
    2003-01-22
Other Names
  • Rama Gali

View on SEC IAPD

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