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Patricia Ann Bothmer

Rbc Capital Markets, LLC

La Jolla, CA

Carlsbad, CA

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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 2023-07-07
CA RA APPROVED 2011-08-23
  • TX RA
    APPROVED_RES
    Since 2023-07-07
  • CA RA
    APPROVED
    Since 2011-08-23

Branch Locations

4250 Executive Square Suite 800, La Jolla, CA 92037-9103 • United States

Carlsbad, CA • 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 La Jolla CA 08/2011 Present
City National Bank La Jolla CA 01/2017 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-10-31
S63 Uniform Securities Agent State Law Examination 1992-12-02
  • S65 Uniform Investment Adviser Law Examination
    1994-10-31
  • S63 Uniform Securities Agent State Law Examination
    1992-12-02
Other Names
  • Tricia Bothmer
  • Patricia A Bothmer

View on SEC IAPD

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