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Andrew James Stern

Rbc Capital Markets, LLC

Portland, ME

Yarmouth, ME

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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 2015-05-14
ME RA APPROVED 2010-11-03
  • TX RA
    APPROVED_RES
    Since 2015-05-14
  • ME RA
    APPROVED
    Since 2010-11-03

Branch Locations

Two Portland Square 5Th Floor, Portland, ME 04101-4088 • United States

Yarmouth, ME • 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 Portland ME 08/2010 Present
City National Bank Portland ME 09/2021 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-10-22
  • S66 Uniform Combined State Law Examination
    2010-10-22
Designations
Other Names
  • Andrew J Stern

View on SEC IAPD

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