Suzanne Margaret Plain-Ward

Rbc Capital Markets, LLC

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Current Employers

Rbc Capital Markets, Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-10-16

NY RA
APPROVED

Since 2021-10-16

Branch Locations

80 Linden Oaks Suite 220, Rochester, NY 14625-2809 • United States

Livonia, NY • 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
Rbc Capital Markets, Llc	Rochester	NY	10/2012	Present

10/2012 → Present

Rbc Capital Markets, Llc

Rochester, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-10-04
S65	Uniform Investment Adviser Law Examination	1999-07-30
S63	Uniform Securities Agent State Law Examination	1998-12-04

S66 Uniform Combined State Law Examination

2013-10-04
S65 Uniform Investment Adviser Law Examination

1999-07-30
S63 Uniform Securities Agent State Law Examination

1998-12-04

Other Names

Suzanne M Plain
Suzanne Margaret Plain

View on SEC IAPD

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