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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MT RA APPROVED 2024-03-18
CA RA APPROVED 2024-03-15
TX RA APPROVED 2024-03-15
  • MT RA
    APPROVED
    Since 2024-03-18
  • CA RA
    APPROVED
    Since 2024-03-15
  • TX RA
    APPROVED
    Since 2024-03-15

Branch Locations

Kalispell, MT • United States

2361 Rosecrans Ave Suite 460, El Segundo, CA 90245-7910 • United States

Hermosa Beach, CA • United States

Disclosures

2 disclosure categories 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley El Segundo CA 07/2016 03/2024
Morgan Stanley Private Bank, N.A. New York NY 04/2018 03/2024
Rbc Capital Markets, Llc Missoula MT 03/2024 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-04-13
S63 Uniform Securities Agent State Law Examination 1995-01-16
  • S65 Uniform Investment Adviser Law Examination
    1995-04-13
  • S63 Uniform Securities Agent State Law Examination
    1995-01-16

View on SEC IAPD

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