Best Investors Account Sign in

Stephanie A Moreno

Rbc Capital Markets, LLC

Kirkland, WA

Renton, WA

Claim This Profile
Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
VI RA APPROVED 2016-01-21
TX RA APPROVED 2016-01-04
WA RA APPROVED 2016-01-04
  • VI RA
    APPROVED
    Since 2016-01-21
  • TX RA
    APPROVED
    Since 2016-01-04
  • WA RA
    APPROVED
    Since 2016-01-04

Branch Locations

3760 Carillon Point, Kirkland, WA 98033-7455 • United States

Renton, WA • 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 Seattle WA 01/2016 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-07-13
S63 Uniform Securities Agent State Law Examination 2005-09-16
  • S65 Uniform Investment Adviser Law Examination
    2007-07-13
  • S63 Uniform Securities Agent State Law Examination
    2005-09-16
Other Names
  • Stephanie Ann Schroeder

View on SEC IAPD

Other Firms

LPL FINANCIAL LLC
RAYMOND JAMES & ASSOCIATES, INC.
PRIVATE ASSET MANAGEMENT INC
ROBINSWOOD FINANCIAL
MORGAN STANLEY
SCHMIDT FINANCIAL MANAGEMENT
FOCUS PARTNERS WEALTH, LLC
TAIYO PACIFIC PARTNERS L.P.

Other Investors

ROBERT MATTHEW GRELLA
SCOTT NORMAN SETTLE
Julia Theresa Cosse
Samantha Lutz
Liam Settle
Alan Leung
THOMAS WALLING CONWAY
LEEANN HUGGINS

Other Offices

LPL FINANCIAL LLC · KIRKLAND, WA
RAYMOND JAMES & ASSOCIATES, INC. · Kirkland, WA
LPL FINANCIAL LLC · KIRKLAND, WA
PRIVATE ASSET MANAGEMENT INC · KIRKLAND, WA
ROBINSWOOD FINANCIAL · KIRKLAND, WA
ROBINSWOOD FINANCIAL · Kirkland, WA
MORGAN STANLEY · Kirkland, WA
SCHMIDT FINANCIAL MANAGEMENT · KIRKLAND, WA

More in Kirkland, WA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor