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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 2023-07-10
  • TX RA
    APPROVED
    Since 2023-07-10

Branch Locations

2 Post Oak Central 1980 Post Oak Blvd, Suite 1630 & 1525, Houston, TX 77056-3859 • United States

Houston, TX • 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
Fidelity Brokerage Services Llc Houston TX 10/2016 07/2023
Rbc Capital Markets, Llc Houston TX 07/2023 Present
  • 10/2016 → 07/2023
    Fidelity Brokerage Services Llc
    Houston, TX
  • 07/2023 → Present
    Houston, TX
Previous Registrations
  • 2019-04-01 → 2023-07-12
    Fidelity Personal And Workplace Advisors
    Houston, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-09-24
S63 Uniform Securities Agent State Law Examination 2014-05-23
  • S66 Uniform Combined State Law Examination
    2018-09-24
  • S63 Uniform Securities Agent State Law Examination
    2014-05-23
Designations

View on SEC IAPD

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