Simon Rosenbaum

Rbc Capital Markets, LLC

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Current Employers

Rbc Capital Markets, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2026-06-30
WA	RA	APPROVED	2026-06-30

TX RA
APPROVED

Since 2026-06-30
WA RA
APPROVED

Since 2026-06-30

Branch Locations

Monsey, NY • United States

1211 Avenue Of The Americas Suite 3300, New York, NY 10036 • United States

401 Union Street Suite 3600, Seattle, WA 98101 • 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

Organization	City	State	From	To
Rbc Capital Markets Llc	Seattle	WA	06/2026	Present
Rbc Wealth Management	Seattle	WA	08/2022	10/2022
Student	Seattle	WA	09/2007	08/2022
Student	Tel Aviv		11/2022	06/2023
Rbc Wealth Management	Seattle	WA	07/2023	08/2023
Student At Baruch College	New York	NY	09/2023	06/2024
Rbc Wealth Management	Seattle	WA	07/2024	06/2026
Student At Baruch College	New York	NY	08/2024	06/2025
Student At Baruch College	New York	NY	08/2025	05/2026

06/2026 → Present

Rbc Capital Markets Llc

Seattle, WA
08/2022 → 10/2022

Rbc Wealth Management

Seattle, WA
09/2007 → 08/2022

Student

Seattle, WA
11/2022 → 06/2023

Student

Tel Aviv
07/2023 → 08/2023

Rbc Wealth Management

Seattle, WA
09/2023 → 06/2024

Student At Baruch College

New York, NY
07/2024 → 06/2026

Rbc Wealth Management

Seattle, WA
08/2024 → 06/2025

Student At Baruch College

New York, NY
08/2025 → 05/2026

Student At Baruch College

New York, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2025-03-25

S66 Uniform Combined State Law Examination

2025-03-25

View on SEC IAPD

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