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Kristin Margret Klein

Rbc Capital Markets, LLC

Wayzata, MN

Minneapolis, MN

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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2013-11-20
  • MN RA
    APPROVED
    Since 2013-11-20

Branch Locations

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

Minneapolis, 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
OrganizationCityStateFromTo
Rbc Capital Markets, Llc Wayzata MN 09/2007 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-10-01
S63 Uniform Securities Agent State Law Examination 1993-10-07
  • S65 Uniform Investment Adviser Law Examination
    1999-10-01
  • S63 Uniform Securities Agent State Law Examination
    1993-10-07
Other Names
  • Kristin Margaret Klein

View on SEC IAPD

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