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Courtney Elice Allen

Rbc Capital Markets, LLC

San Diego, CA

San Diego, CA

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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2012-11-09
TX RA APPROVED 2012-11-09
  • CA RA
    APPROVED
    Since 2012-11-09
  • TX RA
    APPROVED
    Since 2012-11-09

Branch Locations

655 W. Broadway Ste 1000, San Diego, CA 92101-8485 • United States

San Diego, CA • 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 La Jolla CA 11/2012 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-08-22
S63 Uniform Securities Agent State Law Examination 2008-11-18
  • S66 Uniform Combined State Law Examination
    2011-08-22
  • S63 Uniform Securities Agent State Law Examination
    2008-11-18
Other Names
  • Courtney E Allen

View on SEC IAPD

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