Douglas Edward Henderson

Rbc Capital Markets, LLC

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Current Employers

Rbc Capital Markets, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2021-03-03
CT	RA	APPROVED	2021-01-04

TX RA
APPROVED

Since 2021-03-03
CT RA
APPROVED

Since 2021-01-04

Branch Locations

1 Landmark Square 12Th Floor, Stamford, CT 06901-2502 • United States

Norwalk, CT • 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

Organization	City	State	From	To
Weeden & Co., Lp	Greenwich	CT	01/2006	02/2017
Thomson Horstmann & Bryant, Inc.	Norwalk	CT	04/2017	11/2020
Foreside Fund Services, Llc	Norwalk	CT	07/2017	02/2020
Rbc Capital Markets, Llc	Stamford	CT	11/2020	Present

01/2006 → 02/2017

Weeden & Co., Lp

Greenwich, CT
04/2017 → 11/2020

Thomson Horstmann & Bryant, Inc.

Norwalk, CT
07/2017 → 02/2020

Foreside Fund Services, Llc

Norwalk, CT
11/2020 → Present

Rbc Capital Markets, Llc

Stamford, CT

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2020-12-29
S63	Uniform Securities Agent State Law Examination	1994-02-25

S65 Uniform Investment Adviser Law Examination

2020-12-29
S63 Uniform Securities Agent State Law Examination

1994-02-25

Other Names

Douglas Edward Henderson
Douglas E Henderson
Doug Henderson
Douglas Henderson

View on SEC IAPD

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