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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2023-06-16
TX RA APPROVED 2023-06-15
  • FL RA
    APPROVED
    Since 2023-06-16
  • TX RA
    APPROVED
    Since 2023-06-15

Branch Locations

100 Second Avenue South Suite 800, St. Petersburg, FL 33701-4337 • United States

Palmetto, FL • 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
Ubs Financial Services Inc. Tampa FL 01/2016 12/2016
Ubs Financial Services Inc. Tampa FL 01/2017 06/2023
Rbc Capital Markets, Llc St. Petersburg FL 06/2023 Present
Previous Registrations
  • 2016-01-20 → 2023-06-26
    Tampa, FL
    Tampa, FL
  • 2015-08-25 → 2015-12-24
    Usaa Financial Planning Services
    Tampa, FL
Other Businesses

NAME OF ENTITY: TSN Capital LLC ADDRESS: 851 Islebay Dr. Apollo Beach, FL 33572 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Owns rental properties START DATE: 08.01.19 CAPACITY: Owner - Active DUTIES: Help manage rental properties HOURS DEVOTED PER MONTH: 2 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-08-17
S63 Uniform Securities Agent State Law Examination 2015-04-02
  • S65 Uniform Investment Adviser Law Examination
    2015-08-17
  • S63 Uniform Securities Agent State Law Examination
    2015-04-02
Other Names
  • William S Nugent
  • Steele Nugent
  • William S Nugent

View on SEC IAPD

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