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Lagina Letitia Nicholas

Rbc Capital Markets, LLC

Grain Valley, MO

Leawood, KS

CRD 2697047

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Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
KS RA APPROVED 2023-09-29
MO RA APPROVED 2023-09-29
  • KS RA
    APPROVED
    Since 2023-09-29
  • MO RA
    APPROVED
    Since 2023-09-29

Branch Locations

Grain Valley, MO • United States

4001 W. 114Th St Suite 200, Leawood, KS 66211-2604 • 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
Ubs Financial Services Inc Kansas City MO 05/2012 09/2023
Rbc Capital Markets, Llc Leawood KS 09/2023 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-12-22
S63 Uniform Securities Agent State Law Examination 2002-03-18
  • S65 Uniform Investment Adviser Law Examination
    2004-12-22
  • S63 Uniform Securities Agent State Law Examination
    2002-03-18
Other Names
  • Lagina Letitia Romo
  • Lagina Letitia Romo

View on SEC IAPD

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