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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_RES 2025-09-18
CO RA APPROVED 2025-06-30
NE RA APPROVED 2025-06-30
  • TX RA
    APPROVED_RES
    Since 2025-09-18
  • CO RA
    APPROVED
    Since 2025-06-30
  • NE RA
    APPROVED
    Since 2025-06-30

Branch Locations

12910 Pierce St. Suite 300, Omaha, NE 68144-1106 • United States

Elkhorn, NE • 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
Scottrade Inc. Broomfield CO 01/2015 03/2018
Fidelity Brokerage Services Llc Greenwood Village, CO 04/2018 07/2018
Thrivent Investment Management Inc Thornton CO 10/2018 07/2022
Thrivent Financial Appleton WI 12/2018 02/2019
Thrivent Financial Appleton WI 02/2019 07/2022
Thrivent Advisor Network, Llc D/B/A 5280 Associates Denver CO 07/2022 06/2025
Purshe Kaplan Sterling Investments Albany NY 08/2022 07/2024
Thrivent Investment Management Inc Minneapolis MN 08/2024 06/2025
Rbc Capital Markets, Llc Omaha NE 06/2025 Present
  • 01/2015 → 03/2018
    Scottrade Inc.
    Broomfield, CO
  • 04/2018 → 07/2018
    Fidelity Brokerage Services Llc
    Greenwood Village,, CO
  • 10/2018 → 07/2022
    Thornton, CO
  • 12/2018 → 02/2019
    Thrivent Financial
    Appleton, WI
  • 02/2019 → 07/2022
    Thrivent Financial
    Appleton, WI
  • 07/2022 → 06/2025
    Thrivent Advisor Network, Llc D/B/A 5280 Associates
    Denver, CO
  • 08/2022 → 07/2024
    Purshe Kaplan Sterling Investments
    Albany, NY
  • 08/2024 → 06/2025
    Minneapolis, MN
  • 06/2025 → Present
    Omaha, NE
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-11-21
S63 Uniform Securities Agent State Law Examination 2015-05-01
  • S65 Uniform Investment Adviser Law Examination
    2018-11-21
  • S63 Uniform Securities Agent State Law Examination
    2015-05-01

View on SEC IAPD

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