Lori Ann Tempel

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	2016-11-28
KS	RA	APPROVED	2005-07-27

TX RA
APPROVED_RES

Since 2016-11-28
KS RA
APPROVED

Since 2005-07-27

Branch Locations

4001 W. 114Th St Suite 200, Leawood, KS 66211-2604 • United States

Olathe, KS • 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
Rbc Capital Markets Corporation	Leawood	KS	03/2008	Present

03/2008 → Present

Rbc Capital Markets Corporation

Leawood, KS

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-05-29
S63	Uniform Securities Agent State Law Examination	1993-09-24

S65 Uniform Investment Adviser Law Examination

1996-05-29
S63 Uniform Securities Agent State Law Examination

1993-09-24

Other Names

Lori Ann James
Lori Ann Farrell

View on SEC IAPD

Current Employers

Rbc Capital Markets, Llc

Disclosures

Employment History

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews