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Peter Basil Kaldis

Rbc Capital Markets, LLC

Columbus, OH

Powell, OH

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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2021-06-14
  • OH RA
    APPROVED
    Since 2021-06-14

Branch Locations

8415 Pulsar Place Suite 110, Columbus, OH 43240 • United States

Powell, OH • 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
OrganizationCityStateFromTo
Ubs Financial Services Inc Northbrook IL 04/2015 02/2020
Rbc Capital Markets, Llc Cleveland OH 06/2021 Present
Ubs Financial Services Pepper Pike OH 07/2016 03/2020
Unemployed Chagrin Falls OH 03/2020 06/2021
Previous Registrations
  • 2009-09-02 → 2020-03-11
    Ubs Financial Services Inc.
    Columbus, OH
    Weehawken, NJ
    Miamisburg, OH
    New Albany, OH
    Columbus, OH
    Centerville, OH
    Columbus, OH
    Columbus, OH
    Weehawken, NJ
    Farmington Hills, MI
    Northbrook, IL
    Barrington, IL
    Madison, WI
    Brookfield, WI
    Brookfield, WI
    Northbrook, IL
    Pepper Pike, OH
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-07-21
S63 Uniform Securities Agent State Law Examination 1985-05-15
  • S65 Uniform Investment Adviser Law Examination
    1993-07-21
  • S63 Uniform Securities Agent State Law Examination
    1985-05-15
Other Names
  • Pete Kaldis

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · COLUMBUS, OH
EDELMAN FINANCIAL ENGINES · COLUMBUS, OH
ACCOLADE ASSET/LIABILITY ADVISORY SERVICES · COLUMBUS, OH
SIGNATURE EQUITY PARTNERS, LLC · Columbus, OH
STRATEGIC ADVISERS LLC · COLUMBUS, OH
PARK AVENUE SECURITIES LLC · COLUMBUS, OH
W&S BROKERAGE SERVICES, INC. · Columbus, OH
AMERIPRISE FINANCIAL SERVICES, LLC · COLUMBUS, OH

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