Kenneth William Ferrarini

Current Employers

Rbc Capital Markets, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2015-02-05
NE	RA	APPROVED	2013-01-04

TX RA
APPROVED_RES

Since 2015-02-05
NE RA
APPROVED

Since 2013-01-04

Branch Locations

12910 Pierce St. Suite 300, Omaha, NE 68144-1106 • United States

Omaha, NE • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Rbc Capital Markets, Llc	Omaha	NE	01/2013	Present

01/2013 → Present

Rbc Capital Markets, Llc

Omaha, NE

Previous Registrations

2009-06-01 → 2013-01-04

Morgan Stanley

Omaha, NE
1997-07-31 → 2009-06-01

Citigroup Global Markets Inc.

Omaha, NE

Omaha, NE

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-05-06
S63	Uniform Securities Agent State Law Examination	1979-07-12

S65 Uniform Investment Adviser Law Examination

1992-05-06
S63 Uniform Securities Agent State Law Examination

1979-07-12

View on SEC IAPD

Current Employers

Rbc Capital Markets, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

Reviews