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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
VI RA APPROVED 2024-10-21
TX RA APPROVED 2018-06-12
WA RA APPROVED 2018-05-10
  • VI RA
    APPROVED
    Since 2024-10-21
  • TX RA
    APPROVED
    Since 2018-06-12
  • WA RA
    APPROVED
    Since 2018-05-10

Branch Locations

601 West Main Avenue Suite 1215, Spokane, WA 99201-0615 • United States

Spokane, WA • 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
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc Spokane WA 06/2016 11/2016
Wells Fargo Clearing Services, Llc Spokane WA 11/2016 04/2018
Rbc Capital Markets, Llc. Spokane WA 04/2018 Present
Previous Registrations
Other Businesses

NAME OF ENTITY: Christopher & Lynn Jacobs Rental Property ADDRESS: 9314 E. Main Ave Spokane Valley, WA. 99206 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: 1 Single Family Home Rental Property CAPACITY: Owner - Active START DATE: 06/30/22 DUTIES: maintenance on the property, dealing with the renter, keeping records for taxes HOURS DEVOTED PER MONTH: 3 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-08-06
S63 Uniform Securities Agent State Law Examination 1994-02-05
  • S66 Uniform Combined State Law Examination
    2004-08-06
  • S63 Uniform Securities Agent State Law Examination
    1994-02-05

View on SEC IAPD

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