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John Thomas Giese

Rbc Capital Markets, LLC

Edina, MN

Edina, MN

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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 2024-11-21
MN RA APPROVED 2013-11-14
  • TX RA
    APPROVED_RES
    Since 2024-11-21
  • MN RA
    APPROVED
    Since 2013-11-14

Branch Locations

7650 Edinborough Way Suite 800, Edina, MN 55435-5982 • United States

Edina, MN • 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 Edina MN 04/2012 Present
City National Bank Edina MN 12/2017 Present
Previous Registrations
  • 2009-01-21 → 2012-03-16
    Barclays Capital Inc.
    Chicago, IL
  • 2008-06-10 → 2008-10-15
    Lehman Brothers Inc.
    New York, NY
    Chicago, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-06-09
S63 Uniform Securities Agent State Law Examination 2007-01-31
  • S66 Uniform Combined State Law Examination
    2008-06-09
  • S63 Uniform Securities Agent State Law Examination
    2007-01-31
Other Names
  • John Giese

View on SEC IAPD

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