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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 2019-07-16
WA RA APPROVED 2019-06-05
  • TX RA
    APPROVED
    Since 2019-07-16
  • WA RA
    APPROVED
    Since 2019-06-05

Branch Locations

3760 Carillon Point, Kirkland, WA 98033-7455 • United States

Redmond, WA • 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
D.A. Davidson & Co. Bellevue WA 09/1998 06/2019
Rbc Capital Markets, Llc. Kirkland WA 06/2019 Present
Previous Registrations
Other Businesses

(1) NAME OF ENTITY: ARBONNE INTERNATIONAL; ADDRESS: 9400 JERONIMO RD IRVINE, CA; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: SKIN CAR AND NUTRITIONAL PRODUCTS; CAPACITY: INDEPENDENT CONTRACTOR/CONSULTANT; START DATE: 10/2019; DUTIES: I AM A CONSULTANT IN ORDER TO GET A DISCOUNT ON THE SKIN CARE AND NUTRITIONAL PRODUCTS I USE; HOURS DEVOTED PER MONTH: 3-4; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-04-25
S63 Uniform Securities Agent State Law Examination 1983-05-18
  • S65 Uniform Investment Adviser Law Examination
    2017-04-25
  • S63 Uniform Securities Agent State Law Examination
    1983-05-18
Other Names
  • Tammy D Gregory

View on SEC IAPD

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