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Katherine A Robbie

Rbc Capital Markets, LLC

Denver, CO

Littleton, CO

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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2017-04-03
  • CO RA
    APPROVED
    Since 2017-04-03

Branch Locations

1801 California Street Suite 3900, Denver, CO 80202-5822 • United States

Littleton, CO • 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
Ubs Financial Services Inc. New York NY 02/2002 03/2017
Rbc Capital Markets, Llc Denver CO 04/2017 Present
Previous Registrations
  • 2007-05-30 → 2017-04-10
    Ubs Financial Services Inc.
    Denver, CO
    New York, NY
    New York, NY
    Weehawken, NJ
    Denver, CO
    Weehawken, NJ
    Weehawken, NJ
    Colorado Springs, CO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-02-10
S63 Uniform Securities Agent State Law Examination 1995-08-28
  • S66 Uniform Combined State Law Examination
    2007-02-10
  • S63 Uniform Securities Agent State Law Examination
    1995-08-28
Other Names
  • Katherine Annette Cardenter
  • Katherine Annette Wagner
  • Katherine Annette Carpenter

View on SEC IAPD

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MORGAN STANLEY · Denver, CO
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DREAM U.S. MANAGER LLC · DENVER, CO
KSL CAPITAL PARTNERS · DENVER, CO
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