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Colin J. Hawkes

Rbc Capital Markets, LLC

Seattle, WA

Woodinville, WA

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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2023-11-15
TX RA APPROVED_RES 2023-11-13
  • WA RA
    APPROVED
    Since 2023-11-15
  • TX RA
    APPROVED_RES
    Since 2023-11-13

Branch Locations

401 Union Street Suite 3600, Seattle, WA 98101 • United States

Woodinville, WA • 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
Ubs Financial Services Inc. Bellevue WA 06/2006 10/2023
Rbc Capital Markets, Llc Seattle WA 11/2023 Present
Previous Registrations
  • 1999-12-29 → 2023-11-02
    Ubs Financial Services Inc.
    Spokane, WA
    Bellevue, WA
    Tacoma, WA
    Anchorage, AK
    Bellevue, WA
    Bellevue, WA
    Bellevue, WA
    Weehawken, NJ
    Anchorage, AK
    Everett, WA
    Ketchum, ID
    Boise, ID
    Seattle, WA
    Seattle, WA
    Seattle, WA
    Seattle, WA
    Bellingham, WA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-11-12
S63 Uniform Securities Agent State Law Examination 1999-11-01
  • S65 Uniform Investment Adviser Law Examination
    1999-11-12
  • S63 Uniform Securities Agent State Law Examination
    1999-11-01
Other Names
  • Colin Hawkes

View on SEC IAPD

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KLAKNA GROUP LTD · SEATTLE, WA
EUCLIDEAN TECHNOLOGIES MANAGEMENT, LLC · SEATTLE, WA
MADISON PARK CAPITAL ADVISORS, LLC · SEATTLE, WA
ETERNAL DIGITAL FUND LTD. · SEATTLE, WA
FREESTONE CAPITAL MANAGEMENT, LLC · SEATTLE, WA
CEDAR RIVER CAPITAL, LLC · SEATTLE, WA
ROBERT A. UNDERHILL P.C. · SEATTLE, WA
SITKA PACIFIC CAPITAL MANAGEMENT, LLC · SEATTLE, WA

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