Scott Alan Sangerman

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	2012-09-19
CA	RA	APPROVED	2002-07-08

TX RA
APPROVED_RES

Since 2012-09-19
CA RA
APPROVED

Since 2002-07-08

Branch Locations

9465 Wilshire Boulevard Suite 700, Beverly Hills, CA 90212-2351 • United States

Pacific Palisades, CA • United States

Disclosures

3 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 Yes
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 Corporation	Beverly Hills	CA	03/2008	Present
City National Bank	Beverly Hills	CA	07/2016	Present

03/2008 → Present

Rbc Capital Markets Corporation

Beverly Hills, CA
07/2016 → Present

City National Bank

Beverly Hills, CA

Previous Registrations

1998-11-12 → 2002-07-22

Prudential Equity Group, Llc

Los Angeles, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-06-25
S63	Uniform Securities Agent State Law Examination	1984-01-04

S65 Uniform Investment Adviser Law Examination

1992-06-25
S63 Uniform Securities Agent State Law Examination

1984-01-04

View on SEC IAPD

Current Employers

Rbc Capital Markets, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

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