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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 2013-11-13
  • MN RA
    APPROVED
    Since 2013-11-13

Branch Locations

250 Nicollet Mall Suite 1550, 16Th Floor, Minneapolis, MN 55401 • United States

Mendota Heights, 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
Rbc Capital Markets, Llc Minneapolis MN 03/2008 Present
Rbc Global Asset Management (U.S.) Inc. Minneapolis MN 12/2010 Present
  • 03/2008 → Present
    Minneapolis, MN
  • 12/2010 → Present
    Rbc Global Asset Management (U.S.) Inc.
    Minneapolis, MN
Other Businesses

(1) NAME OF ENTITY: Condo Rental at 794 Main Street, La Pointe, WI 54850 ADDRESS: 794 Main Street, La Pointe, WI 54850 INVESTMENT/NOT INVESTMENT RELATED: Not investment-related BUSINESS DESCRIPTION: Private home that will be rented periodically CAPACITY: Owner-Active START DATE: 06/01/2021 DUTIES: Homeowner HOURS DEVOTED PER MONTH: 8 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (2) NAME OF ENTITY: Theater Latte Da ADDRESS:345 13th Avenue, NE Minneapolis, MN 55413 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Non-Profit Theater CAPACITY: Board of Directors START DATE: 08/22/2022 DUTIES: Board Member HOURS DEVOTED PER MONTH: 2 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH:0 NAME OF ENTITY: Lakeview Place Condominium Association ADDRESS: 794 Main Street; PO Box 369; LaPointe, WI 54850-0369 INVESTMENT/NOT INVESTMENT RELATED: Not investment related BUSINESS DESCRIPTION: Homeowner's Association CAPACITY: Treasurer START DATE: 04/15/2025 DUTIES: Establishing & overseeing the annual budget and reconciling expenditures against the budget. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (3) NAME OF ENTITY: Minnesota State University Mankato ADDRESS: 1536 Warren Street, Mankato, MN 56001 INVESTMENT/NOT INVESTMENT RELATED: Not investment related BUSINESS DESCRIPTION: State College / University CAPACITY: Advisory Board Member START DATE: 06/30/2026 DUTIES: Advise on program curriculum, review program offerings, mentor students. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-06-18
S63 Uniform Securities Agent State Law Examination 1997-07-18
  • S65 Uniform Investment Adviser Law Examination
    1999-06-18
  • S63 Uniform Securities Agent State Law Examination
    1997-07-18
Other Names
  • Theresa Christine Seto
  • Theresa Seto Alewine
  • Theresa Christine Seto

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