Kenneth Doyle Shuler

Current Employers

Ptma Investment Advisors

2135 Citygate Lane 7Th Floor, Naperville, IL 60563 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2021-02-01

PA RA
APPROVED

Since 2021-02-01

Branch Locations

2135 Citygate Lane 7Th Floor, Naperville, IL 60563 • 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

Organization	City	State	From	To
Rbc Capital Markets, Llc.	Lancaster	PA	01/2012	05/2018
Rbc Global Asset Management (U.S.) Inc.	Lancaster	PA	01/2012	05/2018
Rbc Global Asset Management (U.S.) Inc.	Lancaster	PA	09/2019	01/2021
Rbc Capital Markets, Llc.	Lancaster	PA	09/2019	01/2021
Unemployed	Reading	PA	06/2018	08/2019
Pma Securities, Llc	Naperville	IL	02/2021	Present

01/2012 → 05/2018

Rbc Capital Markets, Llc.

Lancaster, PA
01/2012 → 05/2018

Rbc Global Asset Management (U.S.) Inc.

Lancaster, PA
09/2019 → 01/2021

Rbc Global Asset Management (U.S.) Inc.

Lancaster, PA
09/2019 → 01/2021

Rbc Capital Markets, Llc.

Lancaster, PA
06/2018 → 08/2019

Unemployed

Reading, PA
02/2021 → Present

Pma Securities, Llc

Naperville, IL

Previous Registrations

2019-09-23 → 2021-01-29

Rbc Capital Markets, Llc

Lancaster, PA
2012-03-05 → 2018-06-06

Rbc Capital Markets, Llc

Lancaster, PA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2012-03-02
S63	Uniform Securities Agent State Law Examination	2005-11-04

S65 Uniform Investment Adviser Law Examination

2012-03-02
S63 Uniform Securities Agent State Law Examination

2005-11-04