Brandi-leigh Joaquin

Current Employers

Rbc Capital Markets, Llc

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

Current Registrations

Authority	Category	Status	Date
RI	RA	APPROVED	2011-03-28

RI RA
APPROVED

Since 2011-03-28

Branch Locations

500 Exchange Street Suite 1102, Providence, RI 02903-2637 • United States

Fairhaven, MA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Rbc Capital Markets, Llc	Providence	RI	02/2011	Present

02/2011 → Present

Rbc Capital Markets, Llc

Providence, RI

Previous Registrations

2009-04-27 → 2010-12-21

Wells Fargo Clearing Services, Llc

Dartmouth, MA

Boston, MA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-06-19

S66 Uniform Combined State Law Examination

2007-06-19

Other Names

Brandi Leigh Valles

View on SEC IAPD

Current Employers

Rbc Capital Markets, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews