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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 2018-11-21
CO RA APPROVED 2018-10-16
  • TX RA
    APPROVED
    Since 2018-11-21
  • CO RA
    APPROVED
    Since 2018-10-16

Branch Locations

3491 East Harmony Road Suite 210, Fort Collins, CO 80528-9669 • United States

Fort Collins, 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Fort Collins CO 11/2014 11/2016
Bank Of America, N.A. Fort Collins CO 03/2016 11/2016
Rbc Capital Markets, Llc. Fort Collins CO 10/2018 Present
Neighbor To Neighbor Fort Collins CO 11/2016 10/2018
Previous Registrations
Other Businesses

1) Name of Entity: Exceptional Swag - Address: 8942 W Brandt Pl. Littleton, CO 80123 - Investment/Not Investment Related: No - Business Description: selling promotional gear and apparel - Capacity: Independent Contractor/Consultant - State Date: 05/09/2022 - Duties: bookkeeping, entering bills and invoices into QuickBooks. Helping reconcile books at the end of the month. - Hours Devoted per month: 5 hours per month - Hours Devoted during securities hours per month: 0 2) NAME OF ENTITY: Neighbor to Neighbor ADDRESS: 1550 Blue Spruce Dr., Fort Collins, CO 80524 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: 03.15.25 CAPACITY: Educator DUTIES: help teach and host their Homebuyer Education class once a quarter HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-03-10
S63 Uniform Securities Agent State Law Examination 2014-03-21
  • S66 Uniform Combined State Law Examination
    2015-03-10
  • S63 Uniform Securities Agent State Law Examination
    2014-03-21
Designations
Other Names
  • Alixandra Therese Weiner

View on SEC IAPD

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