David Ronald Rhode

Current Employers

Rbc Capital Markets, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2010-02-19
CO	RA	APPROVED	2009-03-09

TX RA
APPROVED_RES

Since 2010-02-19
CO RA
APPROVED

Since 2009-03-09

Branch Locations

5251 Dtc Parkway Suite 1200, Greenwood Village, CO 80111-2737 • United States

Aurora, CO • 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

Organization	City	State	From	To
Rbc Capital Markets, Llc	Greenwood Village	CO	02/2009	Present

02/2009 → Present

Rbc Capital Markets, Llc

Greenwood Village, CO

Previous Registrations

2001-02-22 → 2009-03-17

Citigroup Global Markets Inc.

Englewood, CO

Englewood, CO

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1996-07-15
S65	Uniform Investment Adviser Law Examination	1996-07-15

S63 Uniform Securities Agent State Law Examination

1996-07-15
S65 Uniform Investment Adviser Law Examination

1996-07-15

View on SEC IAPD

Current Employers

Rbc Capital Markets, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

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