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Lucie Honosutomo

Rbc Capital Markets, LLC

San Jose, CA

Cupertino, CA

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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-06-18
TX RA APPROVED 2021-06-18
  • CA RA
    APPROVED
    Since 2021-06-18
  • TX RA
    APPROVED
    Since 2021-06-18

Branch Locations

99 Almaden Boulevard Suite 300, San Jose, CA 95113-1603 • United States

Cupertino, CA • 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
Morgan Stanley Smith Barney Llc Cupertino CA 06/2009 06/2021
Morgan Stanley Private Bank, N.A. New York NY 01/2015 06/2021
Rbc Capital Markets, Llc San Jose CA 06/2021 Present
Morgan Stanley Private Bank, N.A New York NY 01/2015 06/2021
City National Bank San Jose CA 07/2021 Present
  • 06/2009 → 06/2021
    Morgan Stanley Smith Barney Llc
    Cupertino, CA
  • 01/2015 → 06/2021
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 06/2021 → Present
    Rbc Capital Markets, Llc
    San Jose, CA
  • 01/2015 → 06/2021
    Morgan Stanley Private Bank, N.A
    New York, NY
  • 07/2021 → Present
    City National Bank
    San Jose, CA
Previous Registrations
  • 2009-06-01 → 2021-06-23
    Morgan Stanley
    Cupertino, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Cupertino, CA
  • 1997-07-08 → 2007-04-02
    Morgan Stanley Dw Inc.
    Cupertino, CA
    Cupertino, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-11-13
S63 Uniform Securities Agent State Law Examination 1995-10-26
  • S65 Uniform Investment Adviser Law Examination
    1995-11-13
  • S63 Uniform Securities Agent State Law Examination
    1995-10-26

View on SEC IAPD

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J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
PFG ADVISORS · San Jose, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
WELLS FARGO CLEARING SERVICES, LLC · SAN JOSE, CA
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