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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 2010-02-08
WI RA APPROVED 1998-04-15
  • TX RA
    APPROVED_RES
    Since 2010-02-08
  • WI RA
    APPROVED
    Since 1998-04-15

Branch Locations

833 E. Michigan Street Suite 1100, Milwaukee, WI 53202 • United States

Hartland, WI • 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 Milwaukee WI 03/2008 Present
  • 03/2008 → Present
    Rbc Capital Markets Corporation
    Milwaukee, WI
Other Businesses

FR. GENES HELP CENTER; ADDRESS: 5919 W NATIONAL AVE MILWAUKEE, WI 53214; BUSINESS DESCRIPTION: EDUCATES, FEEDS AND CLOTHES THE NEEDY; NOT INVESTMENT RELATED; START DATE: 02/01/1987; CAPACITY: BOARD OF DIRECTORS; DUTIES: BUY, PACK, DELIVER, SORT CLOTHES FOR NEEDY PEOPLE, MAINTAIN CENTER, FEED PEOPLE; HOURS DEVOTED PER WEEK: 2.5; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-06-14
S63 Uniform Securities Agent State Law Examination 1982-03-12
  • S65 Uniform Investment Adviser Law Examination
    1995-06-14
  • S63 Uniform Securities Agent State Law Examination
    1982-03-12

View on SEC IAPD

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