Best Investors Account Sign in

Austin Richard Balm

Rbc Capital Markets, LLC

Minneapolis, MN

Hopkins, MN

Claim This Profile
Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-11-29
MN RA APPROVED 2017-01-04
  • TX RA
    APPROVED_RES
    Since 2018-11-29
  • MN RA
    APPROVED
    Since 2017-01-04

Branch Locations

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

Hopkins, MN • 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 Minneapolis MN 09/2016 Present
City National Bank Minnespolis MN 11/2019 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-10-15
S63 Uniform Securities Agent State Law Examination 2016-06-24
  • S65 Uniform Investment Adviser Law Examination
    2016-10-15
  • S63 Uniform Securities Agent State Law Examination
    2016-06-24

View on SEC IAPD

Other Firms

HAYS FINANCIAL GROUP, LLC
THRIVENT ASSET MANAGEMENT, LLC
THRIVENT PRIVATE INVESTMENTS
THRIVENT FINANCIAL FOR LUTHERANS
CETERA INVESTMENT ADVISERS LLC
LPL FINANCIAL LLC
VAN CLEMENS WEALTH MANAGEMENT, LLC
LOGAN PARK WEALTH MANAGEMENT

Other Investors

Matthew William Hogan
GREGORY ALAN KLEIN
Bryon Andrew Eggan
JAMES P MILEY
ROBYN MARY JOYNER
Cole Hendrickson Carter
Casey Mitchell
Jennifer Elizabeth Finn

Other Offices

HAYS FINANCIAL GROUP, LLC · MINNEAPOLIS, MN
THRIVENT ASSET MANAGEMENT, LLC · MINNEAPOLIS, MN
THRIVENT PRIVATE INVESTMENTS · MINNEAPOLIS, MN
THRIVENT FINANCIAL FOR LUTHERANS · MINNEAPOLIS, MN
CETERA INVESTMENT ADVISERS LLC · MINNEAPOLIS, MN
THRIVENT ASSET MANAGEMENT, LLC · Minneapolis, MN
LPL FINANCIAL LLC · MINNEAPOLIS, MN
THRIVENT ASSET MANAGEMENT, LLC · Minneapolis, MN

More in Minneapolis, MN

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor