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Tracy Jenee Dugan

Rbc Capital Markets, LLC

Seattle, WA

Wayne, PA

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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2005-02-11
  • PA RA
    APPROVED
    Since 2005-02-11

Branch Locations

401 Union Street Suite 3600, Seattle, WA 98101 • United States

Wayne, PA • 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
Rbc Capital Markets Corporation Philadelphia PA 03/2008 Present
  • 03/2008 → Present
    Rbc Capital Markets Corporation
    Philadelphia, PA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-02-10
S63 Uniform Securities Agent State Law Examination 1997-09-18
  • S65 Uniform Investment Adviser Law Examination
    2005-02-10
  • S63 Uniform Securities Agent State Law Examination
    1997-09-18
Other Names
  • Trcy Jenee Dugan
  • Tracy J Allebach

View on SEC IAPD

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FREESTONE CAPITAL MANAGEMENT, LLC · SEATTLE, WA
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