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Lori A Carroll

Rbc Capital Markets, LLC

Glastonbury, CT

Tolland, CT

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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2018-05-10
CT RA APPROVED 2018-04-20
  • TX RA
    APPROVED
    Since 2018-05-10
  • CT RA
    APPROVED
    Since 2018-04-20

Branch Locations

200 Glastonbury Blvd Suite 103, Glastonbury, CT 06033-4418 • United States

Tolland, CT • 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 Glastonbury CT 05/2009 11/2016
Wells Fargo Clearing Services, Llc Glastonbury CT 11/2016 04/2018
Rbc Capital Markets, Llc. Glastonbury CT 04/2018 Present
Previous Registrations
  • 2003-07-01 → 2018-04-19
    Wells Fargo Clearing Services, Llc
    Glastonbury, CT
    Glastonbury, CT
    Glastonbury, CT
  • 2002-04-15 → 2003-07-01
    Prudential Equity Group, Llc
    Glastonbury, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-12-17
S63 Uniform Securities Agent State Law Examination 1997-07-03
  • S65 Uniform Investment Adviser Law Examination
    2001-12-17
  • S63 Uniform Securities Agent State Law Examination
    1997-07-03
Other Names
  • Lori Ann Savage
  • Lori Ann Gaudino

View on SEC IAPD

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Other Offices

USI ADVISORS · GLASTONBURY, CT
USI SECURITIES, INC. · GLASTONBURY, CT
AMERIPRISE FINANCIAL SERVICES, LLC · Glastonbury, CT
CETERA INVESTMENT ADVISERS LLC · GLASTONBURY, CT
AMERIPRISE FINANCIAL SERVICES, LLC · GLASTONBURY, CT
JANNEY MONTGOMERY SCOTT LLC · Glastonbury, CT
INTEGRATED WEALTH CONCEPTS LLC · GLASTONBURY, CT
CORNERSTONE PLANNING GROUP · Glastonbury, CT

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