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Gregory Dale Ernst

Rbc Capital Markets, LLC

Lincoln, NE

Lincoln, NE

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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NE RA APPROVED 2021-01-25
TX RA APPROVED 2021-01-14
  • NE RA
    APPROVED
    Since 2021-01-25
  • TX RA
    APPROVED
    Since 2021-01-14

Branch Locations

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

Lincoln, NE • 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
Ubs Financial Services Inc Lincoln NE 12/2008 01/2021
Rbc Capital Markets, Llc Lincoln NE 01/2021 Present
Previous Registrations
  • 2008-12-10 → 2021-01-25
    Ubs Financial Services Inc.
    Lincoln, NE
  • 2007-04-02 → 2008-12-08
    Morgan Stanley & Co. Llc
    Lincoln, NE
  • 1997-07-31 → 2007-04-02
    Morgan Stanley Dw Inc.
    Lincoln, NE
    Lincoln, NE
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-12-19
S63 Uniform Securities Agent State Law Examination 1987-01-26
  • S65 Uniform Investment Adviser Law Examination
    2003-12-19
  • S63 Uniform Securities Agent State Law Examination
    1987-01-26

View on SEC IAPD

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