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Shari Ann La Fleur

Rbc Capital Markets, LLC

Dallas, TX

Colleyville, TX

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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 2024-09-23
  • TX RA
    APPROVED
    Since 2024-09-23

Branch Locations

100 Crescent Court Suite 1500, Dallas, TX 75201-1871 • United States

Colleyville, 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 Dallas TX 03/2012 10/2023
Wells Fargo Clearing Services, Llc Plano TX 10/2023 09/2024
Rbc Capital Markets, Llc Dallas TX 09/2024 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-12-12
S63 Uniform Securities Agent State Law Examination 2011-03-05
  • S66 Uniform Combined State Law Examination
    2016-12-12
  • S63 Uniform Securities Agent State Law Examination
    2011-03-05
Other Names
  • Shari Ann Buttery
  • Shari Ann Eisenbeck
  • Shari A Eisenbeck

View on SEC IAPD

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