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James Allen Kent

Rbc Capital Markets, LLC

Seattle, WA

Seattle, WA

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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2024-05-06
  • WA RA
    APPROVED
    Since 2024-05-06

Branch Locations

Seattle, WA • United States

401 Union Street Suite 3600, Seattle, WA 98101 • 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
Ubs Financial Services Inc Seattle WA 11/2014 05/2024
Rbc Capital Markets, Llc Seattle WA 05/2024 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-03-30
S63 Uniform Securities Agent State Law Examination 2000-03-22
  • S65 Uniform Investment Adviser Law Examination
    2015-03-30
  • S63 Uniform Securities Agent State Law Examination
    2000-03-22

View on SEC IAPD

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