Shawn Michael Gray

Current Employers

Rbc Capital Markets, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2017-03-30
MN	RA	APPROVED	2014-01-23

TX RA
APPROVED_RES

Since 2017-03-30
MN RA
APPROVED

Since 2014-01-23

Branch Locations

350 N. Main Street Suite 106, Stillwater, MN 55082-7055 • United States

Stillwater, 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

Organization	City	State	From	To
The Northwestern Mutual Life Insurance C	Milwaukee	WI	12/1992	Present
Rbc Capital Markets, Llc	Stillwater	MN	06/2013	Present

12/1992 → Present

The Northwestern Mutual Life Insurance C

Milwaukee, WI
06/2013 → Present

Rbc Capital Markets, Llc

Stillwater, MN

Other Businesses

MAY EARN COMMISSIONS FROM INSURANCE COMPANIES NOT AFFILIATED WITH NORTHWESTERN MUTUAL FOR SALES OF NON-VARIABLE LIFE, HEALTH, ANNUITY AND/OR DISABILITY INCOME INSURANCE PRODUCTS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2013-08-09
S63	Uniform Securities Agent State Law Examination	1994-03-04

S65 Uniform Investment Adviser Law Examination

2013-08-09
S63 Uniform Securities Agent State Law Examination

1994-03-04

View on SEC IAPD

Current Employers

Rbc Capital Markets, Llc

Disclosures

Employment History

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

Reviews