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Richard John Batten

Rbc Capital Markets, LLC

Danvers, MA

Stoneham, MA

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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2023-12-26
CA RA APPROVED 2019-09-27
TX RA APPROVED_RES 2017-03-30
  • CT RA
    APPROVED
    Since 2023-12-26
  • CA RA
    APPROVED
    Since 2019-09-27
  • TX RA
    APPROVED_RES
    Since 2017-03-30

Branch Locations

222 Rosewood Drive Suite 510, Danvers, MA 01923-4519 • United States

Stoneham, 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 Corporation Burlington MA 03/2008 Present
  • 03/2008 → Present
    Rbc Capital Markets Corporation
    Burlington, MA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-12-08
S63 Uniform Securities Agent State Law Examination 1984-07-19
  • S65 Uniform Investment Adviser Law Examination
    1993-12-08
  • S63 Uniform Securities Agent State Law Examination
    1984-07-19

View on SEC IAPD

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Other Offices

ONEDIGITAL · Danvers, MA
JANNEY MONTGOMERY SCOTT LLC · Danvers, MA
ROBERT W. BAIRD & CO. INCORPORATED · Danvers, MA
CETERA INVESTMENT ADVISERS LLC · DANVERS, MA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Danvers, MA
FORTIS CAPITAL ADVISORS, LLC · Danvers, MA
NVEST FINANCIAL, LLC · DANVERS, MA
AMERIPRISE FINANCIAL SERVICES, LLC · DANVERS, MA

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