Douglas Earl Sexe

Current Employers

Rbc Capital Markets, Llc

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

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2005-08-31
MT	RA	APPROVED	2005-04-26
TX	RA	APPROVED	2005-04-22

NC RA
APPROVED

Since 2005-08-31
MT RA
APPROVED

Since 2005-04-26
TX RA
APPROVED

Since 2005-04-22

Branch Locations

101 River Drive North Suite 101, Great Falls, MT 59401-4200 • United States

Great Falls, MT • 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 Corporation	Great Falls	MT	03/2008	Present

03/2008 → Present

Rbc Capital Markets Corporation

Great Falls, MT

Previous Registrations

1999-06-25 → 2005-05-27

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Great Falls, MT

Other Businesses

(1) GREAT FALLS PUBLIC SCHOOL FOUNDATION; ADDRESS: 1100 4TH ST SOUTH GREAT FALLS, MT 59401; BUSINESS DESCRIPTION: NOT FOR PROFIT; NOT INVESTMENT RELATED; START DATE: 01/01/2014; CAPACITY: BOARD OF DIRECTORS; DUTIES: RAISE MONEY FOR GREAT FALLS PUBLIC SCHOOLS; HOURS DEVOTED PER WEEK: LESS THAN 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (2) BETHEL CHURCH; ADDRESS: 1009 18TH AVE SW, GREAT FALLS, MT 59404; BUSINESS DESCRIPTION: CHURCH; NOT INVESTMENT RELATED; START DATE: 11/07/2017; CAPACITY: ELECTED OFFICIAL (NON-POLITICAL); DUTIES: GENERAL OVERSIGHT; HOURS DEVOTED PER MONTH: 4; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-09-10
S63	Uniform Securities Agent State Law Examination	1992-02-26

S65 Uniform Investment Adviser Law Examination

1994-09-10
S63 Uniform Securities Agent State Law Examination

1992-02-26

Other Names

Doug Sexe
Douglas E Sexe

View on SEC IAPD