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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 2016-08-30
  • TX RA
    APPROVED
    Since 2016-08-30

Branch Locations

303 Pearl Parkway Suite 380, San Antonio, TX 78215-1285 • United States

5301 Sw Parkway, Bldg 2 Suite 300, Austin, TX 78735 • United States

Lakeway, 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, Llc Austin TX 08/2016 Present
Previous Registrations
  • 2009-06-01 → 2016-09-02
    Lufkin, TX
  • 2008-07-16 → 2009-06-01
    Morgan Stanley & Co. Llc
    Lufkin, TX
  • 2008-01-01 → 2008-07-21
    Lufkin, TX
  • 2003-03-24 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Lufkin, TX
    Lufkin, TX
    St. Louis, MO
Other Businesses

NAME OF ENTITY: Lee Family Investments LLC ADDRESS: 24309 E FM 1431 Marble Falls, TX 78654 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Family Investment group focusing on residential properties. START DATE: 03.01.24 CAPACITY: Owner - Passive DUTIES: Assist in decision making regarding properties HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-03-21
  • S66 Uniform Combined State Law Examination
    2003-03-21

View on SEC IAPD

Other Firms

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