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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-08-29
  • CA RA
    APPROVED
    Since 2025-08-29

Branch Locations

4 Lower Ragsdale Drive Suite 120, Monterey, CA 93940-7835 • United States

Salinas, CA • 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 Salinas CA 04/2012 Present
Other Businesses

(1) IMPOWER, INC.; ADDRESS: 16 W. GABILAN STREET, SALINAS, CA 93901; BUSINESS DESCRIPTION: NOT FOR PROFIT; NOT INVESTMENT RELATED; START DATE: 03/13/2018; CAPACITY: BOARD OF DIRECTORS; DUTIES: GENERAL OVERSIGHT; HOURS DEVOTED PER MONTH: 2; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-08-29
S63 Uniform Securities Agent State Law Examination 2017-12-30
  • S65 Uniform Investment Adviser Law Examination
    2025-08-29
  • S63 Uniform Securities Agent State Law Examination
    2017-12-30
Other Names
  • Kathleen Elaine Huggins
  • Kathleen Huggins Pimentel
  • Kathleen Huggins

View on SEC IAPD

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