Best Investors Account Sign in

Theresa Marie Yates

Rbc Capital Markets, LLC

Greenwood Village, CO

Castle Rock, CO

Claim This Profile
Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2019-09-04
  • CO RA
    APPROVED
    Since 2019-09-04

Branch Locations

5251 Dtc Parkway Suite 1200, Greenwood Village, CO 80111-2737 • United States

Castle Rock, CO • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Englewood CO 07/2009 09/2019
Rbc Capital Markets, Llc. Greenwood Village CO 09/2019 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-10-11
  • S66 Uniform Combined State Law Examination
    2007-10-11

View on SEC IAPD

Other Firms

DODDS WEALTH, LLC
MARSHALL INVESTMENT MANAGEMENT, LLC
AXS CAPITAL, LLC
MORGAN STANLEY
LPL FINANCIAL LLC
WESTERN WEALTH MANAGEMENT LLC
CONCURRENT INVESTMENT ADVISORS, LLC
GENEOS WEALTH MANAGEMENT, INC.

Other Investors

BRENNAN PAUL PATE
JOHN MICHAEL DODDS
Natalie Ford
DEANNA LEE MEYER
BRENT Allan LEE
Dean Edward Norsworthy
ANDREW T DODDS
DENNIS EDWARD MARSHALL

Other Offices

DODDS WEALTH, LLC · GREENWOOD VILLAGE, CO
MARSHALL INVESTMENT MANAGEMENT, LLC · GREENWOOD VILLAGE, CO
AXS CAPITAL, LLC · GREENWOOD VILLAGE, CO
MORGAN STANLEY · Greenwood Village, CO
LPL FINANCIAL LLC · GREENWOOD VILLAGE, CO
LPL FINANCIAL LLC · GREENWOOD VILLAGE, CO
WESTERN WEALTH MANAGEMENT LLC · Greenwood Village, CO
CONCURRENT INVESTMENT ADVISORS, LLC · Greenwood Village, CO

More in Greenwood Village, CO

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor