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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-10-03
TX RA APPROVED 2024-10-03
  • NY RA
    APPROVED
    Since 2024-10-03
  • TX RA
    APPROVED
    Since 2024-10-03

Branch Locations

Manlius, NY • United States

5786 Widewaters Pkwy Suite 2, Syracuse, NY 13214-3500 • 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
Wells Fargo Advisors Llc Syracuse NY 05/2009 11/2016
Wells Fargo Clearing Services, Llc Syracuse NY 11/2016 10/2024
Rbc Capital Markets, Llc Syracuse NY 10/2024 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1985-04-02
  • S63 Uniform Securities Agent State Law Examination
    1985-04-02

View on SEC IAPD

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