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Courtney Jo Rodriguez

Rbc Capital Markets, LLC

Bettendorf, IA

Bettendorf, IA

CRD 5302974

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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_RES 2019-02-28
IA RA APPROVED 2019-02-08
  • TX RA
    APPROVED_RES
    Since 2019-02-28
  • IA RA
    APPROVED
    Since 2019-02-08

Branch Locations

2308 56Th Ave West, Bettendorf, IA 52722 • United States

Bettendorf, IA • 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 Davenport IA 06/2014 Present
City National Bank Davenport IA 04/2019 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-02-07
S63 Uniform Securities Agent State Law Examination 2013-11-25
  • S66 Uniform Combined State Law Examination
    2019-02-07
  • S63 Uniform Securities Agent State Law Examination
    2013-11-25
Other Names
  • Courtney J Rodriguez

View on SEC IAPD

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