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Lisa Marie Murray

Rbc Capital Markets, LLC

Minneapolis, MN

St. Louis Park, MN

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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2022-09-13
  • MN RA
    APPROVED
    Since 2022-09-13

Branch Locations

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

St. Louis Park, 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
Wells Fargo Advisors Llc Minneapolis MN 01/2011 11/2016
Wells Fargo Clearing Services, Llc Minneapolis MN 11/2016 09/2022
Rbc Capital Markets, Llc Minneapolis MN 09/2022 Present
Previous Registrations
  • 2011-01-03 → 2022-09-14
    Wells Fargo Clearing Services, Llc
    Minneapolis, MN
    Charlotte, NC
    Minneapolis, MN
    Minneapolis, MN
    St. Louis, MO
  • 2010-05-11 → 2011-01-03
    Wells Fargo Investments, Llc
    Minneapolis, MN
    Minneapolis, MN
    Minneapolis, MN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-05-10
S63 Uniform Securities Agent State Law Examination 1996-04-15
  • S65 Uniform Investment Adviser Law Examination
    2010-05-10
  • S63 Uniform Securities Agent State Law Examination
    1996-04-15
Other Names
  • Lisa M Murray

View on SEC IAPD

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