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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
VI RA APPROVED 2020-09-18
TX RA APPROVED_RES 2020-01-17
MN RA APPROVED 2020-01-16
  • VI RA
    APPROVED
    Since 2020-09-18
  • TX RA
    APPROVED_RES
    Since 2020-01-17
  • MN RA
    APPROVED
    Since 2020-01-16

Branch Locations

250 Nicollet Mall Suite 1700, 16Th Floor, Minneapolis, MN 55401 • United States

Hugo, MN • 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
U.S. Bancorp Investments, Inc. Saint Paul MN 04/2014 01/2020
Rbc Capital Markets, Llc Minneapolis MN 01/2020 Present
Previous Registrations
  • 2014-04-23 → 2020-01-13
    Saint Paul, MN
  • 2012-01-09 → 2014-04-08
    Td Ameritrade, Inc.
    Edina, MN
  • 2012-01-09 → 2014-04-08
    Td Ameritrade Investment Management, Llc
    Minneapolis, MN
  • 2011-01-03 → 2011-11-07
    St. Louis, MO
  • 2006-02-27 → 2011-01-03
    Wells Fargo Investments, Llc
    Minneapolis, MN
    Minneapolis, MN
    Minneapolis, MN
    Minneapolis, MN
Other Businesses

NAME OF ENTITY: Amazon INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Selling products on Amazon CAPACITY: Independent Contractor/Consultant START DATE: 10/15/21 DUTIES: Sending products to Amazon warehouse to be sold on their website. HOURS DEVOTED PER MONTH: 2 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-02-23
  • S66 Uniform Combined State Law Examination
    2006-02-23

View on SEC IAPD

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