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Patricia Ann Smith

Rbc Capital Markets, LLC

Rochester, NY

Webster, NY

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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 2022-07-25
  • NY RA
    APPROVED
    Since 2022-07-25

Branch Locations

80 Linden Oaks Suite 220, Rochester, NY 14625-2809 • United States

Webster, NY • 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 Western NY 05/2013 11/2016
Wells Fargo Clearing Services, Llc Western NY 11/2016 07/2022
Rbc Capital Markets, Llc Rochester NY 07/2022 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-10-02
S63 Uniform Securities Agent State Law Examination 1993-08-31
  • S66 Uniform Combined State Law Examination
    2013-10-02
  • S63 Uniform Securities Agent State Law Examination
    1993-08-31
Other Names
  • Patricia Ann Brighton
  • Patricia Ann Smith
  • Patricia Brighton
  • Patricia Ann Brighton
  • Patti Brighton

View on SEC IAPD

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Other Offices

MORGAN STANLEY · Rochester, NY
COMMONWEALTH FINANCIAL NETWORK · ROCHESTER, NY
NOVEM GROUP · ROCHESTER, NY
OSAIC WEALTH, INC. · ROCHESTER, NY
EDELMAN FINANCIAL ENGINES · ROCHESTER, NY
RISE ADVISORS, LLC · ROCHESTER, NY
UBS FINANCIAL SERVICES INC. · ROCHESTER, NY
MARINER · Rochester, NY

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