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David Michael Depaul

Rbc Capital Markets, LLC

Florham Park, NJ

Madison, NJ

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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 2016-12-13
NJ RA APPROVED 2016-12-08
  • TX RA
    APPROVED_RES
    Since 2016-12-13
  • NJ RA
    APPROVED
    Since 2016-12-08

Branch Locations

200 Park Avenue 2Nd Floor, Florham Park, NJ 07932-1026 • United States

Madison, NJ • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc Florham Park NJ 01/2010 12/2016
Rbc Capital Markets, Llc Florham Park NJ 12/2016 Present
Previous Registrations
  • 2008-12-05 → 2016-12-15
    Ubs Financial Services Inc.
    Warren, NJ
    Florham Park, NJ
    Weehawken, NJ
    Florham Park, NJ
  • 2007-04-02 → 2008-12-09
    Morgan Stanley & Co. Llc
    Morristown, NJ
  • 2004-09-09 → 2007-04-02
    Morgan Stanley Dw Inc.
    Morristown, NJ
    Morristown, NJ
  • 2002-10-11 → 2004-09-23
    Citigroup Global Markets Inc.
    Florham Park, NJ
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1993-04-27
  • S63 Uniform Securities Agent State Law Examination
    1993-04-27

View on SEC IAPD

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