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Rafael Lamar Scroggins

Rbc Securities, Inc

San Francisco, CA

Oakland, CA

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Current Employers
Rbc Securities, Inc

555 South Flower Street 11Th Floor, Los Angeles, CA 90071 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2020-02-12
  • CA RA
    APPROVED
    Since 2020-02-12

Branch Locations

150 California St 12Th Floor, San Francisco, CA 94111 • United States

Oakland, CA • 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
Wells Fargo Bank Na San Francisco CA 08/2011 11/2019
Wells Fargo Advisors Llc San Francisco CA 10/2012 11/2016
Wells Fargo Clearing Services, Llc San Francisco CA 11/2016 11/2019
City National Bank San Francisco CA 11/2019 Present
  • 08/2011 → 11/2019
    Wells Fargo Bank Na
    San Francisco, CA
  • 10/2012 → 11/2016
    Wells Fargo Advisors Llc
    San Francisco, CA
  • 11/2016 → 11/2019
    Wells Fargo Clearing Services, Llc
    San Francisco, CA
  • 11/2019 → Present
    City National Bank
    San Francisco, CA
Previous Registrations
  • 2012-10-18 → 2019-11-20
    Wells Fargo Clearing Services, Llc
    San Francisco, CA
    San Francisco, CA
    Corte Madera, CA
    San Francisco, CA
    San Francisco, CA
    Minneapolis, MN
    Minneapolis, MN
    San Francisco, CA
    Tarpon Springs, FL
  • 2008-08-22 → 2010-12-06
    Comerica Securities
    San Francisco, CA
  • 2006-09-22 → 2008-07-25
    Wells Fargo Investments, Llc
    San Francisco, CA
    San Francisco, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-09-21
  • S66 Uniform Combined State Law Examination
    2006-09-21
Other Names
  • Rafael Lamar Scroggins
  • Rafael L Scroggins

View on SEC IAPD

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JOHN HUGH MCDEVITT
JOSEPH WADE PITTS
MARK ALLAN ANDERSON
RALPH MELVILLE DRYBROUGH
PAUL ROBERT TOUCHSTONE
Jacob David Mahoney
ROBIN TICKNOR BRINCKERHOFF

Other Offices

FORT POINT CAPITAL PARTNERS LLC · SAN FRANCISCO, CA
DIVISAR CAPITAL MANAGEMENT, LLC · SAN FRANCISCO, CA
CHARLES SCHWAB & CO., INC. · San Francisco, CA
1SHARPE CAPITAL LLC · SAN FRANCISCO, CA
STRATEGIC ADVISERS LLC · SAN FRANCISCO, CA
VALEAS CAPITAL PARTNERS · SAN FRANCISCO, CA
ZENTARA EXCHANGE LTD · SAN FRANCISCO, CA
YIHENG CAPITAL MANAGEMENT, L.P. · SAN FRANCISCO, CA

More in San Francisco, CA

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