Michael Joseph Winn

Current Employers

Rbc Capital Markets, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2017-03-31
NH	RA	APPROVED	2010-12-03

TX RA
APPROVED_RES

Since 2017-03-31
NH RA
APPROVED

Since 2010-12-03

Branch Locations

100 International Drive Suite 375, Portsmouth, NH 03801-6881 • United States

Bedford, MA • United States

Disclosures

2 disclosure categories 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 Yes
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
Rbc Capital Markets , Llc	Portsmouth	NH	11/2010	Present

11/2010 → Present

Rbc Capital Markets , Llc

Portsmouth, NH

Previous Registrations

2008-07-30 → 2010-11-03

Nrp Advisors, Inc.

Nashua, NH
2008-01-01 → 2008-08-06

Wells Fargo Clearing Services, Llc

Nashua, NH
2005-01-28 → 2008-01-01

A. G. Edwards & Sons, Inc.

Nashua, NH

Nashua, NH

St. Louis, MO

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-05-14
S63	Uniform Securities Agent State Law Examination	1983-11-16

S66 Uniform Combined State Law Examination

2004-05-14
S63 Uniform Securities Agent State Law Examination

1983-11-16

View on SEC IAPD

Current Employers

Rbc Capital Markets, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

Reviews