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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2013-11-14
  • MN RA
    APPROVED
    Since 2013-11-14

Branch Locations

641 Lake St. E. Suite 230, Wayzata, MN 55391 • United States

Minnetonka, 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 Wayzata MN 11/2011 Present
City National Bank Wayzata MN 03/2023 Present
Previous Registrations
Other Businesses

NOTARY PUBLIC; INVESTMENT RELATED; MN; NOTARIZE DOCUMENTS; START 1985; <1 HR PER YEAR 0 DURING TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-04-26
S63 Uniform Securities Agent State Law Examination 1983-12-20
  • S65 Uniform Investment Adviser Law Examination
    1995-04-26
  • S63 Uniform Securities Agent State Law Examination
    1983-12-20
Designations

View on SEC IAPD

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