William Dale Whittington

Current Employers

Rbc Capital Markets, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2018-07-15
CA	RA	APPROVED	2018-07-10

TX RA
APPROVED_RES

Since 2018-07-15
CA RA
APPROVED

Since 2018-07-10

Branch Locations

345 California Street, San Francisco, CA 94104-2642 • United States

Alameda, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Morgan Stanley Smith Barney Llc	Oakland	CA	05/2016	05/2018
Rbc Capital Markets, Llc.	San Francisco	CA	07/2018	Present

05/2016 → 05/2018

Morgan Stanley Smith Barney Llc

Oakland, CA
07/2018 → Present

Rbc Capital Markets, Llc.

San Francisco, CA

Previous Registrations

2014-06-16 → 2018-05-23

Morgan Stanley

San Francisco, CA

Santa Rosa, CA

Oakland, CA
2007-08-07 → 2013-03-05

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Jacksonville, FL

Jacksonville, FL

Jacksonville, FL

Jacksonville, FL

New York, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-07-31

S66 Uniform Combined State Law Examination

2007-07-31

Other Names

Will Whittington
William D Whittinton

View on SEC IAPD

Current Employers

Rbc Capital Markets, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews