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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 2023-06-14
VA RA APPROVED 2023-06-14
  • TX RA
    APPROVED
    Since 2023-06-14
  • VA RA
    APPROVED
    Since 2023-06-14

Branch Locations

8010 Towers Crescent Drive 4Th Floor, Vienna, VA 22182 • United States

Dunn Loring, VA • 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
Janney Montgomery Scott Llc Washington DC 06/2010 06/2023
Rbc Capital Markets, Llc Vienna VA 06/2023 Present
Previous Registrations
Other Businesses

(1) NAME OF ENTITY: 11886 Haslet Road ADDRESS: 8057 PRICHARDS CT Dunn Loring, VA 22027-1315 VA 22027-1315 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: Aug 25, 2026 CAPACITY: Owner DUTIES: llc created to hold personal property HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-11-05
S63 Uniform Securities Agent State Law Examination 1993-09-27
  • S65 Uniform Investment Adviser Law Examination
    1993-11-05
  • S63 Uniform Securities Agent State Law Examination
    1993-09-27
Designations
Other Names
  • Leonard F Warren
  • Len Warren

View on SEC IAPD

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