Rick L Gabelman

Current Employers

Rbc Capital Markets, Llc

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

Current Registrations

Authority	Category	Status	Date
NE	RA	APPROVED	2019-01-25
TX	RA	APPROVED_RES	2019-01-17

NE RA
APPROVED

Since 2019-01-25
TX RA
APPROVED_RES

Since 2019-01-17

Branch Locations

8800 Firethorn Lane Suite 200, Lincoln, NE 68520 • United States

Lincoln, NE • 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

Organization	City	State	From	To
Morgan Stanley Smith Barney	Lincoln	NE	06/2009	01/2019
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	01/2019
Rbc Capital Market, Llc.	Lincoln	NE	01/2019	Present
City National Bank	Lincoln	NE	07/2019	Present

06/2009 → 01/2019

Morgan Stanley Smith Barney

Lincoln, NE
01/2015 → 01/2019

Morgan Stanley Private Bank, National Association

New York, NY
01/2019 → Present

Rbc Capital Market, Llc.

Lincoln, NE
07/2019 → Present

City National Bank

Lincoln, NE

Previous Registrations

2009-06-01 → 2019-01-18

Morgan Stanley

Lincoln, NE
1997-07-31 → 2009-06-01

Citigroup Global Markets Inc.

Lincoln, NE

Lincoln, NE

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-05-05
S63	Uniform Securities Agent State Law Examination	1983-04-27

S65 Uniform Investment Adviser Law Examination

1992-05-05
S63 Uniform Securities Agent State Law Examination

1983-04-27