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Jeffrey Alan Fischman

Rbc Capital Markets, LLC

Florham Park, NJ

Warren, NJ

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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 2017-03-30
NJ RA APPROVED 2009-10-09
  • TX RA
    APPROVED_RES
    Since 2017-03-30
  • NJ RA
    APPROVED
    Since 2009-10-09

Branch Locations

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

Warren, NJ • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Rbc Capital Markets Corporation Parsippany NJ 10/2009 Present
  • 10/2009 → Present
    Rbc Capital Markets Corporation
    Parsippany, NJ
Previous Registrations
  • 2002-06-12 → 2009-10-09
    J. B. Hanauer & Co.
    Parsippany, NJ
    Parsippany, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-06-06
S63 Uniform Securities Agent State Law Examination 1983-07-22
  • S65 Uniform Investment Adviser Law Examination
    2002-06-06
  • S63 Uniform Securities Agent State Law Examination
    1983-07-22

View on SEC IAPD

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