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Scott David Schroeder

Rbc Capital Markets, LLC

Albuquerque, NM

Albuquerque, NM

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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NM RA APPROVED 2020-07-13
TX RA APPROVED_RES 2020-07-10
  • NM RA
    APPROVED
    Since 2020-07-13
  • TX RA
    APPROVED_RES
    Since 2020-07-10

Branch Locations

6301 Uptown Blvd Ne Suite 100, Albuquerque, NM 87110-4132 • United States

Albuquerque, NM • 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
Maplewood Investment Advisors, Inc. Dallas TX 08/2016 07/2020
Miai, Inc Dallas TX 08/2016 07/2020
Rbc Capital Markets, Llc Albuquerque NM 07/2020 Present
  • 08/2016 → 07/2020
    Maplewood Investment Advisors, Inc.
    Dallas, TX
  • 08/2016 → 07/2020
    Miai, Inc
    Dallas, TX
  • 07/2020 → Present
    Rbc Capital Markets, Llc
    Albuquerque, NM
Previous Registrations
  • 2016-08-30 → 2020-08-07
    Miai, Inc.
    Albuquerque, NM
    Dallas, TX
  • 2014-09-16 → 2016-08-29
    Goodwin Securities, Inc
    Albuquerque, NM
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-09-16
S63 Uniform Securities Agent State Law Examination 2010-07-08
  • S65 Uniform Investment Adviser Law Examination
    2014-09-16
  • S63 Uniform Securities Agent State Law Examination
    2010-07-08

View on SEC IAPD

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Other Investors

SUSAN MARIE MORRISON
DONALD AUSTIN MCDANIEL
KIRK RANDOLPH HUDSON
MATTHEW DAVID KELLER
Michelle Lea Phillips
Matthew John Ports
Jean-Marc D Grindatto
GREGORY JOSEPH ZANETTI

Other Offices

AAN WEALTH ADVISORS LLC · Albuquerque, NM
DXD CAPITAL · ALBUQUERQUE, NM
ALLWORTH FINANCIAL, L.P. · ALBUQUERQUE, NM
EDWARD JONES · ALBUQUERQUE, NM
ZANETTI FINANCIAL, LLC · ALBUQUERQUE, NM
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER · ALBUQUERQUE, NM
AMERIPRISE FINANCIAL SERVICES, LLC · ALBUQUERQUE, NM
LPL FINANCIAL LLC · ALBUQUERQUE, NM

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