Richard Erwin Brostowitz

Rbc Capital Markets, LLC

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Current Employers

Rbc Capital Markets, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2022-04-20
WI	RA	APPROVED	2020-07-14

TX RA
APPROVED

Since 2022-04-20
WI RA
APPROVED

Since 2020-07-14

Branch Locations

8613 Us Hwy. 51 N, Minocqua, WI 54548 • United States

Brookfield, WI • 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

Organization	City	State	From	To
Rbc Capital Markets, Llc	Minocqua	WI	04/2020	Present
Us Bank	Madison	WI	07/2016	03/2020
City National Bank	Minocqua	WI	08/2020	12/2023

04/2020 → Present

Rbc Capital Markets, Llc

Minocqua, WI
07/2016 → 03/2020

Us Bank

Madison, WI
08/2020 → 12/2023

City National Bank

Minocqua, WI

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2020-07-14

S66 Uniform Combined State Law Examination

2020-07-14

Designations

Other Names

Rick Brostowitz

View on SEC IAPD

Other Firms

AMERIPRISE FINANCIAL SERVICES, LLC

U.S. BANCORP ADVISORS, LLC

CETERA INVESTMENT ADVISERS LLC

OSAIC WEALTH, INC.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

SGL FINANCIAL, LLC

Other Investors

JEFFREY SCOTT BOEHM

Alise M Jablonsky

LOVELL LLOYD ROE

LAURA LEE BORSKI

MATTHEW C KLUETZ

CLARA Marie METZ

Carmen S Strasburg

MARK JOSEPH FRIDAY

Other Offices

AMERIPRISE FINANCIAL SERVICES, LLC · Minocqua, WI

MORGAN STANLEY · MINOCQUA, WI

EDWARD JONES · MINOCQUA, WI

U.S. BANCORP ADVISORS, LLC · Minocqua, WI

CETERA INVESTMENT ADVISERS LLC · WOODRUFF, WI

AMERIPRISE FINANCIAL SERVICES, LLC · MINOCQUA, WI

OSAIC WEALTH, INC. · MINOCQUA, WI

OSAIC WEALTH, INC. · Tomahawk, WI

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