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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2018-11-21
CA RA APPROVED 2018-05-04
  • TX RA
    APPROVED
    Since 2018-11-21
  • CA RA
    APPROVED
    Since 2018-05-04

Branch Locations

9465 Wilshire Boulevard Suite 700, Beverly Hills, CA 90212-2351 • United States

Mountain View, 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
Raymond James Insurance Group St Petersburg FL 05/2015 06/2017
Raymond James & Associates Inc St Petersburg FL 05/2015 01/2017
Raymond James & Associates Los Angeles CA 06/2017 02/2018
Rbc Capital Markets, Llc. Beverly Hills CA 02/2018 Present
  • 05/2015 → 06/2017
    Raymond James Insurance Group
    St Petersburg, FL
  • 05/2015 → 01/2017
    Raymond James & Associates Inc
    St Petersburg, FL
  • 06/2017 → 02/2018
    Raymond James & Associates
    Los Angeles, CA
  • 02/2018 → Present
    Beverly Hills, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-05-04
S63 Uniform Securities Agent State Law Examination 2014-03-04
  • S65 Uniform Investment Adviser Law Examination
    2018-05-04
  • S63 Uniform Securities Agent State Law Examination
    2014-03-04
Other Names
  • Daniel Carlos Sandoval
  • Carlos Daniel Sandoval

View on SEC IAPD

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