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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2021-12-15
  • MN RA
    APPROVED
    Since 2021-12-15

Branch Locations

250 Nicollet Mall Suite 2000, 16Th Floor, Minneapolis, MN 55401-1931 • United States

Roseville, MN • 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
OrganizationCityStateFromTo
Rbc Wealth Management Minneapolis MN 04/2007 Present
  • 04/2007 → Present
    Rbc Wealth Management
    Minneapolis, MN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-12-13
  • S66 Uniform Combined State Law Examination
    2021-12-13

View on SEC IAPD

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