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Andrew Nicholas Embery

Rbc Capital Markets, LLC

Chicago, IL

Chicago, IL

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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2023-05-11
TX RA APPROVED 2023-05-11
  • IL RA
    APPROVED
    Since 2023-05-11
  • TX RA
    APPROVED
    Since 2023-05-11

Branch Locations

111 S Wacker Drive Suite 3200, Chicago, IL 60606 • United States

Chicago, IL • 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
Morgan Stanley Smith Barney Llc Chicago IL 06/2009 05/2023
Morgan Stanley Private Bank, N.A. New York NY 01/2015 05/2023
Morgan Stanley Smith Barney Llc Leawood KS 02/2018 03/2018
Rbc Capital Markets, Llc Chicago IL 05/2023 Present
City National Bank Chicago IL 06/2023 Present
  • 06/2009 → 05/2023
    Morgan Stanley Smith Barney Llc
    Chicago, IL
  • 01/2015 → 05/2023
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 02/2018 → 03/2018
    Morgan Stanley Smith Barney Llc
    Leawood, KS
  • 05/2023 → Present
    Rbc Capital Markets, Llc
    Chicago, IL
  • 06/2023 → Present
    City National Bank
    Chicago, IL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-05-25
  • S66 Uniform Combined State Law Examination
    2006-05-25
Designations
Other Names
  • Andy Embery

View on SEC IAPD

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Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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