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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2022-05-06
TX RA APPROVED_RES 2022-04-30
  • FL RA
    APPROVED
    Since 2022-05-06
  • TX RA
    APPROVED_RES
    Since 2022-04-30

Branch Locations

5355 Town Center Road Suite 800, Boca Raton, FL 33486 • United States

Tequesta, FL • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Boca Raton FL 06/2009 04/2022
Rbc Capital Markets, Llc Boca Raton FL 04/2022 Present
  • 06/2009 → 04/2022
    Morgan Stanley Smith Barney
    Boca Raton, FL
  • 04/2022 → Present
    Boca Raton, FL
Previous Registrations
  • 2009-06-01 → 2022-05-02
    Boca Raton, FL
    W. Palm Beach, FL
    Boca Raton, FL
  • 2008-12-05 → 2009-06-01
    Morgan Stanley & Co. Llc
    Boca Raton, FL
  • 1998-01-15 → 2008-10-30
    Boca Raton, FL
    Boca Raton, FL
Other Businesses

1) NAME OF ENTITY: JDLA Landscape Architecture ADDRESS: 13 Turtle Creek Dr Apt D, Tequesta, florida, 33469 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: 09/09/2009 CAPACITY: Officer DUTIES: We are setting up the small business for estate planning where I am an owner along with my husband. My responsibilities are passive in nature and assist him with billing and small administrative tasks as well as tax filing ad record keeping. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1998-01-13
  • S63 Uniform Securities Agent State Law Examination
    1998-01-13
Other Names
  • Anne Marie Loftin
  • Anne Marie Loftin-Santiago
  • Anne Marie Loftin - Santiago
  • Anne Marie Loftin
  • Anne M Loftin
  • Anne M Walsh
  • Anne L Walsh

View on SEC IAPD

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