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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
WY RA APPROVED 2017-07-06
TX RA APPROVED_RES 2017-03-30
  • WY RA
    APPROVED
    Since 2017-07-06
  • TX RA
    APPROVED_RES
    Since 2017-03-30

Branch Locations

200 West 17Th Street Suite 100, Cheyenne, WY 82001-4595 • United States

Cheyenne, WY • 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 Corporation Cheyenne WY 03/2008 Present
  • 03/2008 → Present
    Rbc Capital Markets Corporation
    Cheyenne, WY
Other Businesses

(1) LARAMIE COUNTY LIBRARY FOUNDATION 2800 CENTRAL AVE, CHEYENNE, WY 82001 THIS IS A NON-PROFIT FOUNDATION. I STARTED 2/2006 AND WILL END 2/2009. I WILL BE ON THE BOARD. I WILL DEVOTE 1 1/2 HOURS PER MONTH TO THIS. 0 DURING SECURITY TRADING HOURS. (2) Name of Entity: Bluegrass Plaza, Inc Real Estate Holding Company Address of Business: 1950 Bluegrass Circle, Cheyenne, WY 82001 Business Description: Property Management Holding Company for various medical properties in Cheyenne, WY Business is not investment related Projected Start Date - 08/15/2015 Projected End Date - 08/15/2016 Capacity - Board of Directors Duties Performed - board seat for four 1 hour meetings per year. 1 hour devoted to this OBA per month 0 hours devoted during security trading hours per month (3) NAME OF ENTITY: Granite Springs Retreat Association; ADDRESS: 232 Happy Jack Road, Cheyenne, WY 82009; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Home Owners Association; CAPACITY: Board of Directors; START DATE: 08/2019; DUTIES: Board member for three year term; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0; (4) NAME OF ENTITY: Rocky Mountain Karma Project ADDRESS: 407 West 2nd Avenue Cheyenne Wyoming 82001 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: Mar 11, 2025 CAPACITY: Board of Directors DUTIES: Non profit promoting getting yoga to the underserved parts of our community and to help develop future yoga teachers. Board member at large. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-10-27
S63 Uniform Securities Agent State Law Examination 1992-11-23
  • S65 Uniform Investment Adviser Law Examination
    1995-10-27
  • S63 Uniform Securities Agent State Law Examination
    1992-11-23
Other Names
  • Joe Marek
  • Joseph Marek

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