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Thomas Michael Wenzel

Rbc Capital Markets, LLC

Tacoma, WA

Federal Way, WA

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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 2009-03-31
WA RA APPROVED 2009-03-31
  • TX RA
    APPROVED
    Since 2009-03-31
  • WA RA
    APPROVED
    Since 2009-03-31

Branch Locations

1201 Pacific Ave. Suite 1500, Tacoma, WA 98402-4322 • United States

Federal Way, 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 Seattle WA 03/2009 Present
  • 03/2009 → Present
    Rbc Capital Markets
    Seattle, WA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-07-20
S63 Uniform Securities Agent State Law Examination 1992-07-08
  • S65 Uniform Investment Adviser Law Examination
    1992-07-20
  • S63 Uniform Securities Agent State Law Examination
    1992-07-08
Other Names
  • Tom Wenzel

View on SEC IAPD

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