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William Joseph Hertzog

Rbc Capital Markets, LLC

Phoenix, AZ

Cave Creek, AZ

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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_RES 2016-06-10
  • TX RA
    APPROVED_RES
    Since 2016-06-10

Branch Locations

2398 East Camelback Road Suite 700, Phoenix, AZ 85016-3467 • United States

Cave Creek, AZ • 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 Phoenix AZ 06/2016 Present
Previous Registrations
Other Businesses

RENTAL PROPERTY; NON INVESTMENT RELATED; HAYDEN LAKE, ID; 100% OWNERSHIP W/SPOUSE; 2 HRS PER MONTH; RENT VACTION HOME 5-8 WEEKS A YEAR

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-04-21
S63 Uniform Securities Agent State Law Examination 1990-11-26
  • S65 Uniform Investment Adviser Law Examination
    1995-04-21
  • S63 Uniform Securities Agent State Law Examination
    1990-11-26
Other Names
  • William Hertzog

View on SEC IAPD

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