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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2025-04-22
  • MN RA
    APPROVED
    Since 2025-04-22

Branch Locations

520 West Highway 96 Suite 100, Shoreview, MN 55126-1904 • United States

Shoreview, MN • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Bremer Bank St. Anthony MN 04/2014 04/2025
Raymond James Financial Services St Paul MN 08/2009 04/2025
Raymond James Financial Services Advisors Inc. St. Anthony MN 08/2009 04/2025
Hallett Financial St. Anthony MN 10/2017 01/2019
Rbc Capital Markets, Llc Dallas TX 04/2025 Present
Previous Registrations
  • 2009-08-17 → 2025-04-24
    St. Anthony, MN
    St Anthony, MN
  • 2003-04-15 → 2009-08-07
    Invest Financial Corporation
    Zimmerman, MN
    St. Anthony, MN
    Roseville, MN
    Minneapolis, MN
    Arden Hills, MN
    St. Anthony, MN
    St. Paul, MN
    White Bear Lake, MN
    Woodbury, MN
Other Businesses

(1)Name of Business: Bremer Bank Address: 2654 Kenzie Terrace, St Anthony, MN, 55418, United States Activity Type: Bank or Credit Union Associate Position/Title: Associate/Employee Investment Related: Yes Start Date: 04/04/2014 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: I advise clients of the bank (as well as non-bank clients) about their finances. Bremer Bank is my employer and that is who I receive checks from. (2)Name of Business: Bremer Investments Address: 2654 Kenzie Terrace, St Anthony, MN, 55418, United States Activity Type: Support Company - Non Owner Position/Title: Other Investment Related: No Start Date: 04/15/2019 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Financial Advisor

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-12-22
S63 Uniform Securities Agent State Law Examination 1997-11-13
  • S65 Uniform Investment Adviser Law Examination
    2005-12-22
  • S63 Uniform Securities Agent State Law Examination
    1997-11-13

View on SEC IAPD

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