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Charles George Williams

Rbc Capital Markets, LLC

St. Cloud, MN

Arden Hills, MN

CRD 5250697

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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 2024-05-21
MN RA APPROVED 2022-07-08
  • TX RA
    APPROVED
    Since 2024-05-21
  • MN RA
    APPROVED
    Since 2022-07-08

Branch Locations

1015 W Saint Germain St Suite 400, St. Cloud, MN 56301-5423 • United States

Arden Hills, 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
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Llc St. Paul MN 07/2008 06/2022
Rbc Capital Markets, Llc St. Cloud MN 07/2022 Present
  • 07/2008 → 06/2022
    Morgan Stanley Smith Barney Llc
    St. Paul, MN
  • 07/2022 → Present
    Rbc Capital Markets, Llc
    St. Cloud, MN
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-05-07
  • S66 Uniform Combined State Law Examination
    2019-05-07

View on SEC IAPD

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CETERA INVESTMENT ADVISERS LLC · ST CLOUD, MN
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