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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 2020-07-30
WI RA APPROVED 2020-07-30
  • TX RA
    APPROVED
    Since 2020-07-30
  • WI RA
    APPROVED
    Since 2020-07-30

Branch Locations

2465 Marina Circle Suite 500, Green Bay, WI 54304 • United States

Allouez, WI • 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 Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Pruco Securities, Llc Appleton WI 05/2018 03/2020
Abc Supply Company Green Bay WI 05/2017 08/2017
Unemployed Green Bay WI 08/2016 05/2017
Unemployed Green Bay WI 08/2017 05/2018
The Prudential Insurance Company Of America Appleton WI 07/2018 03/2020
Rbc Capital Markets, Llc Depere WI 03/2020 Present
City National Bank Depere WI 10/2021 12/2023
  • 05/2018 → 03/2020
    Pruco Securities, Llc
    Appleton, WI
  • 05/2017 → 08/2017
    Abc Supply Company
    Green Bay, WI
  • 08/2016 → 05/2017
    Unemployed
    Green Bay, WI
  • 08/2017 → 05/2018
    Unemployed
    Green Bay, WI
  • 07/2018 → 03/2020
    The Prudential Insurance Company Of America
    Appleton, WI
  • 03/2020 → Present
    Depere, WI
  • 10/2021 → 12/2023
    City National Bank
    Depere, WI
Other Businesses

1) NAME OF ENTITY: The Salvation Army of Greater Green Bay ADDRESS: 626 Union Ct. Green Bay, WI 54303 NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Faith Based Charity CAPACITY: Council Member (not associated with Board of Directors) START DATE: 04/01/2021 DUTIES: Plan the organization's annual and capital fundraising initiatives. To review ongoing performance of initiatives and analyze success in relation to goals and annual operating budget HOURS DEVOTED PER MONTH: 01 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 01 2) NAME OF ENTITY: Not Applicable | Entity is a sole proprietorship ADDRESS: 1930 Belmont Drive Green Bay, WI 54304 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Air BNB / VRBO / Short-Term Rental CAPACITY: Sole Proprietor START DATE: 7/1/22 DUTIES: All duties are automated - cleaning is completed by my spouse and listing prices / communication are automated. HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-07-30
S63 Uniform Securities Agent State Law Examination 2018-07-06
  • S66 Uniform Combined State Law Examination
    2020-07-30
  • S63 Uniform Securities Agent State Law Examination
    2018-07-06
Other Names
  • Derek Robert Bohm
  • Derek R Bohm

View on SEC IAPD

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