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Cord A.J. Houle

Rbc Capital Markets, LLC

Minneapolis, MN

Minneapolis, MN

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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2019-03-20
  • MN RA
    APPROVED
    Since 2019-03-20

Branch Locations

250 Nicollet Mall Suite 2000, 16Th Floor, Minneapolis, MN 55401-1931 • United States

Minneapolis, MN • 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
U.S. Bancorp Investments, Inc. Minneapolis MN 08/2011 03/2019
Rbc Capital Markets, Llc. Minneapolis MN 03/2019 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-10-18
S63 Uniform Securities Agent State Law Examination 2010-10-15
  • S65 Uniform Investment Adviser Law Examination
    2011-10-18
  • S63 Uniform Securities Agent State Law Examination
    2010-10-15
Other Names
  • Cord Houle
  • Cord A.J. Houle

View on SEC IAPD

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