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Michael Kriegler

Rbc Capital Markets, LLC

Minneapolis, MN

Hanover, MN

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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 2021-06-07
  • MN RA
    APPROVED
    Since 2021-06-07

Branch Locations

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

Hanover, 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
Wells Fargo Advisors, Llc Saint Paul MN 03/2015 11/2016
Wells Fargo Clearing Services, Llc Saint Paul MN 11/2016 06/2021
Rbc Capital Markets, Llc Minneapolis MN 06/2021 Present
Previous Registrations
  • 2015-03-06 → 2021-06-14
    Wells Fargo Clearing Services, Llc
    Minneapolis, MN
    Anoka, MN
    Bloomington, MN
    Charlotte, NC
    Minneapolis, MN
    St. Louis, MO
  • 2014-09-19 → 2015-02-25
    Cetera Wealth Services, Llc
    Minnetonka, MN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-08-29
S63 Uniform Securities Agent State Law Examination 2010-06-25
  • S66 Uniform Combined State Law Examination
    2014-08-29
  • S63 Uniform Securities Agent State Law Examination
    2010-06-25
Other Names
  • Michael Alexander Kriegler

View on SEC IAPD

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