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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-02-21
VI RA APPROVED 2016-04-19
TX RA APPROVED_RES 2015-11-04
MN RA APPROVED 2013-11-13
  • CA RA
    APPROVED
    Since 2023-02-21
  • VI RA
    APPROVED
    Since 2016-04-19
  • TX RA
    APPROVED_RES
    Since 2015-11-04
  • MN RA
    APPROVED
    Since 2013-11-13

Branch Locations

250 Nicollet Mall Suite 2000, 16Th Floor, Minneapolis, MN 55401-1931 • United States

9465 Wilshire Boulevard Suite 700, Beverly Hills, CA 90212-2351 • United States

Minneapolis, MN • 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 Minneapolis MN 03/2008 Present
City National Bank Minneapolis MN 09/2019 01/2025
  • 03/2008 → Present
    Rbc Capital Markets Corporation
    Minneapolis, MN
  • 09/2019 → 01/2025
    City National Bank
    Minneapolis, MN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-07-25
S63 Uniform Securities Agent State Law Examination 1994-03-04
  • S65 Uniform Investment Adviser Law Examination
    2007-07-25
  • S63 Uniform Securities Agent State Law Examination
    1994-03-04
Other Names
  • Daniel Brooks

View on SEC IAPD

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