Joel Charles Kozlak

Current Employers

Rbc Capital Markets, Llc

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

Current Registrations

Authority	Category	Status	Date
MN	RA	APPROVED	2019-01-18

MN RA
APPROVED

Since 2019-01-18

Branch Locations

7650 Edinborough Way Suite 800, Edina, MN 55435-5982 • United States

St. Paul, MN • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Duluth	MN	10/2006	01/2019
Bank Of America, N.A.	Bloomington	MN	05/2011	01/2019
Rbc Capital Markets, Llc.	Edina	MN	01/2019	Present
City National Bank	Edina	MN	05/2019	Present

10/2006 → 01/2019

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Duluth, MN
05/2011 → 01/2019

Bank Of America, N.A.

Bloomington, MN
01/2019 → Present

Rbc Capital Markets, Llc.

Edina, MN
05/2019 → Present

City National Bank

Edina, MN

Previous Registrations

2007-09-25 → 2019-01-22

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Minneapolis, MN

Duluth, MN

Bloomington, MN

Other Businesses

(1) NAME OF ENTITY: JOEL C AND JANE B KOZLAK; ADDRESS: PERSONAL RESIDENCE; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: RENTAL PROPERTY; CAPACITY: OWNER-ACTIVE; START DATE: 07/2012; DUTIES: PAY BILLS AND RESPOND TO TENANT CONCERNS AND MAINTAIN PROPERTY; HOURS DEVOTED PER MONTH: .5; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0;

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-01-11

S66 Uniform Combined State Law Examination

2007-01-11

View on SEC IAPD