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Nicole Roya Barker

Rbc Capital Markets, LLC

Kirkland, WA

Kirkland, WA

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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-12-08
WA RA APPROVED 2022-09-30
  • TX RA
    APPROVED
    Since 2022-12-08
  • WA RA
    APPROVED
    Since 2022-09-30

Branch Locations

3760 Carillon Point, Kirkland, WA 98033-7455 • United States

Kirkland, 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Seattle WA 02/2011 09/2022
Rbc Capital Markets, Llc Kirkland WA 09/2022 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-05-30
  • S66 Uniform Combined State Law Examination
    2017-05-30
Other Names
  • Nicole Roya Barker

View on SEC IAPD

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