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Thomas Christopher Klein

Rbc Capital Markets, LLC

Florham Park, NJ

Raleigh, NC

Youngsville, NC

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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2022-08-09
NY RA APPROVED 2021-09-15
NJ RA APPROVED 2005-06-09
  • NC RA
    APPROVED
    Since 2022-08-09
  • NY RA
    APPROVED
    Since 2021-09-15
  • NJ RA
    APPROVED
    Since 2005-06-09

Branch Locations

200 Park Avenue 2Nd Floor, Florham Park, NJ 07932-1026 • United States

3800 Glenwood Avenue Suite 400, Raleigh, NC 27612 • United States

Youngsville, NC • 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
Rbc Capital Markets Llc Florham Park NJ 11/2011 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-08-11
S63 Uniform Securities Agent State Law Examination 1986-02-10
  • S65 Uniform Investment Adviser Law Examination
    1992-08-11
  • S63 Uniform Securities Agent State Law Examination
    1986-02-10
Designations
Other Names
  • Thomas C Klein

View on SEC IAPD

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FLORHAM PARK, NJ
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