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James Erwin Wing

Rbc Capital Markets, LLC

Providence, RI

Foxboro, MA

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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_RES 2010-02-19
NH RA APPROVED 2006-01-31
RI RA APPROVED 2005-08-04
  • TX RA
    APPROVED_RES
    Since 2010-02-19
  • NH RA
    APPROVED
    Since 2006-01-31
  • RI RA
    APPROVED
    Since 2005-08-04

Branch Locations

500 Exchange Street Suite 1102, Providence, RI 02903-2637 • United States

Foxboro, MA • 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 Providence RI 03/2008 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-08-03
S63 Uniform Securities Agent State Law Examination 1980-11-13
  • S66 Uniform Combined State Law Examination
    2005-08-03
  • S63 Uniform Securities Agent State Law Examination
    1980-11-13
Other Names
  • E James Wing

View on SEC IAPD

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ERNST & YOUNG INVESTMENT ADVISERS LLP · PROVIDENCE, RI
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WASHINGTON TRUST ADVISORS · Providence, RI
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