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Lee Andrew Derose

Rbc Capital Markets, LLC

Denver, CO

Wheat Ridge, CO

CRD 5845446

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Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2015-02-05
CO RA APPROVED 2011-04-06
  • TX RA
    APPROVED_RES
    Since 2015-02-05
  • CO RA
    APPROVED
    Since 2011-04-06

Branch Locations

1801 California Street Suite 3900, Denver, CO 80202-5822 • United States

Wheat Ridge, CO • 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 Denver CO 09/2010 Present
City National Bank Denver CO 06/2018 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-04-05
  • S66 Uniform Combined State Law Examination
    2011-04-05

View on SEC IAPD

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Nearby Investors

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Nearby Offices

EXCELLERE PARTNERS · DENVER, CO
ALPINE QUANTITATIVE MANAGEMENT, LLC · DENVER, CO
MORGAN STANLEY · Denver, CO

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