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Thomas Christopher Roe

Rbc Capital Markets, LLC

Seattle, WA

Kirkland, WA

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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 2023-11-14
TX RA APPROVED_RES 2023-11-07
WA RA APPROVED 2023-06-14
  • VI RA
    APPROVED
    Since 2023-11-14
  • TX RA
    APPROVED_RES
    Since 2023-11-07
  • WA RA
    APPROVED
    Since 2023-06-14

Branch Locations

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

Kirkland, WA • 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
Northwest Investment Consulting, Inc. Seattle WA 08/2004 07/2021
Raymond James & Associates, Inc Mill Creek WA 07/2021 05/2023
Rbc Capital Markets, Llc Seattle WA 06/2023 Present
Previous Registrations
  • 2021-08-20 → 2023-06-02
    Raymond James & Associates, Inc.
    St. Petersburg, FL
    Mill Creek, WA
  • 2014-06-20 → 2021-08-12
    Northwest Investment Consulting, Inc.
    Seattle, WA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2023-09-25
S65 Uniform Investment Adviser Law Examination 2014-06-09
  • S63 Uniform Securities Agent State Law Examination
    2023-09-25
  • S65 Uniform Investment Adviser Law Examination
    2014-06-09
Other Names
  • Chris Roe

View on SEC IAPD

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Other Offices

KLAKNA GROUP LTD · SEATTLE, WA
EUCLIDEAN TECHNOLOGIES MANAGEMENT, LLC · SEATTLE, WA
MADISON PARK CAPITAL ADVISORS, LLC · SEATTLE, WA
ETERNAL DIGITAL FUND LTD. · SEATTLE, WA
FREESTONE CAPITAL MANAGEMENT, LLC · SEATTLE, WA
CEDAR RIVER CAPITAL, LLC · SEATTLE, WA
ROBERT A. UNDERHILL P.C. · SEATTLE, WA
SITKA PACIFIC CAPITAL MANAGEMENT, LLC · SEATTLE, WA

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