Rick Joseph Sterling

Current Employers

Rbc Capital Markets, Llc

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

Current Registrations

Authority	Category	Status	Date
MN	RA	APPROVED	2013-11-20
TX	RA	APPROVED	2007-09-14

MN RA
APPROVED

Since 2013-11-20
TX RA
APPROVED

Since 2007-09-14

Branch Locations

641 Lake St. E. Suite 230, Wayzata, MN 55391 • United States

Minnetrista, MN • 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

Organization	City	State	From	To
Rbc Capital Markets, Llc	Wayzata	MN	03/2008	Present
City National Bank	Wayzata	MN	02/2018	Present

03/2008 → Present

Rbc Capital Markets, Llc

Wayzata, MN
02/2018 → Present

City National Bank

Wayzata, MN

Previous Registrations

2006-08-12 → 2007-09-25

Ubs Financial Services Inc.

Minneapolis, MN
2004-10-18 → 2006-08-12

Piper Sandler & Co.

Minneapolis, MN

Minneapolis, MN

Minneapolis, MN

Other Businesses

(1) JASK HOLDINGS; ADDRESS: 3410 HARDSCRABBLE RD N MINNETRISTA, MN 55364; BUSINESS DESCRIPTION: RENTAL PROPERTIES; NOT INVESTMENT RELATED; START DATE: 09/12/2012; CAPACITY: PARTNER; DUTIES: PURCHASE AND MAINTAIN RESIDENTIAL RENTAL PROPERTY; HOURS DEVOTED PER WEEK: 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-09-22
S63	Uniform Securities Agent State Law Examination	1992-03-11

S65 Uniform Investment Adviser Law Examination

1999-09-22
S63 Uniform Securities Agent State Law Examination

1992-03-11

Other Names

Rick J Sterling

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