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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2019-09-23
  • MN RA
    APPROVED
    Since 2019-09-23

Branch Locations

250 Nicollet Mall Suite 2000, 16Th Floor, Minneapolis, MN 55401-1931 • United States

Monticello, MN • 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
The Leaders Group Inc Littleton CO 01/2014 03/2018
Rbc Capital Markets, Llc. Minneapolis MN 09/2019 Present
U.S. Bancorp Investment, Inc. Minneapolis MN 03/2018 09/2019
Us Bank Minneapolis MN 08/2018 09/2019
  • 01/2014 → 03/2018
    The Leaders Group Inc
    Littleton, CO
  • 09/2019 → Present
    Minneapolis, MN
  • 03/2018 → 09/2019
    U.S. Bancorp Investment, Inc.
    Minneapolis, MN
  • 08/2018 → 09/2019
    Us Bank
    Minneapolis, MN
Previous Registrations
Other Businesses

(1) Minority owner (less than 5%) of MBG Acquisitions, LLC (MBG). MBG is a Brokerage General Agency (insurance - life, disability, long-term care). I spend no time on MBG business, I am not involved in any business operations of MBG in any way. I receive renewal commissions on past individual sales production only, no other income or distributions are received. I am currently working with my legal representation and seeking a redemption agreement with MBG. (2) NAME OF ENTITY: United FC Rush Soccer Club ADDRESS: 5964 Main Ave NE PO Box 211 Albertville MN 55301 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: 30/08/2025 CAPACITY: Other DUTIES: Head Coach - coaching U12 boys team. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-01-30
S63 Uniform Securities Agent State Law Examination 1996-06-27
  • S65 Uniform Investment Adviser Law Examination
    1998-01-30
  • S63 Uniform Securities Agent State Law Examination
    1996-06-27
Other Names
  • Jerry Ray Moran

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