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Thomas Braun

Rbc Capital Markets, LLC

Paramus, NJ

Nyack, NY

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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-07-19
NJ RA APPROVED 2024-07-12
  • TX RA
    APPROVED_RES
    Since 2024-07-19
  • NJ RA
    APPROVED
    Since 2024-07-12

Branch Locations

650 From Road Suite 225, Paramus, NJ 07652-3517 • United States

Nyack, NY • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated West Nyack NY 04/2013 07/2024
Bank Of America, N.A. West Nyack NY 03/2015 07/2024
Rbc Capital Markets, Llc Paramus NJ 07/2024 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-03-06
S63 Uniform Securities Agent State Law Examination 2008-10-08
  • S66 Uniform Combined State Law Examination
    2014-03-06
  • S63 Uniform Securities Agent State Law Examination
    2008-10-08
Other Names
  • Chris Braun
  • Thomas Christian Braun

View on SEC IAPD

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