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Wendy Moss Thomas

Rbc Capital Markets, LLC

Seattle, WA

Seattle, 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_RES 2018-10-22
WA RA APPROVED 2000-09-11
  • TX RA
    APPROVED_RES
    Since 2018-10-22
  • WA RA
    APPROVED
    Since 2000-09-11

Branch Locations

401 Union Street Suite 3600, Seattle, WA 98101 • United States

Seattle, 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 Corporation Seattle WA 03/2008 Present
  • 03/2008 → Present
    Rbc Capital Markets Corporation
    Seattle, WA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-08-30
S63 Uniform Securities Agent State Law Examination 1993-08-12
  • S65 Uniform Investment Adviser Law Examination
    1993-08-30
  • S63 Uniform Securities Agent State Law Examination
    1993-08-12
Other Names
  • Wendy Lee Thomas
  • Wendy Lee Moss
  • Wendy Lee Maclean
  • Wendy Lee Moss

View on SEC IAPD

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Other Offices

KLAKNA GROUP LTD · SEATTLE, WA
EUCLIDEAN TECHNOLOGIES MANAGEMENT, LLC · SEATTLE, WA
MADISON PARK CAPITAL ADVISORS, LLC · SEATTLE, WA
ETERNAL DIGITAL FUND LTD. · SEATTLE, WA
FREESTONE CAPITAL MANAGEMENT, LLC · SEATTLE, WA
CEDAR RIVER CAPITAL, LLC · SEATTLE, WA
ROBERT A. UNDERHILL P.C. · SEATTLE, WA
SITKA PACIFIC CAPITAL MANAGEMENT, LLC · SEATTLE, WA

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