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Paul Joseph Wartman

Rbc Capital Markets, LLC

Brookfield, WI

Milwaukee, WI

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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_RES 2015-06-25
WI RA APPROVED 2002-05-07
  • TX RA
    APPROVED_RES
    Since 2015-06-25
  • WI RA
    APPROVED
    Since 2002-05-07

Branch Locations

18500 W Corporate Drive Suite 100, Brookfield, WI 53045 • United States

Milwaukee, WI • 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
Rbc Capital Markets , Llc Brookfield WI 03/2008 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-10-25
S63 Uniform Securities Agent State Law Examination 1985-11-26
  • S66 Uniform Combined State Law Examination
    2002-10-25
  • S63 Uniform Securities Agent State Law Examination
    1985-11-26

View on SEC IAPD

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Other Investors

DEANNE E PHILLIPS
MATTHEW ROSS KRENKE
Eric Gustav Strom
Thomas James Berkholtz
Heather Christine Shutta
Jeffrey Lynn Stanich
Clayton Joel Beilfuss
Logan Alexander Kepler

Other Offices

ANNEX WEALTH MANAGEMENT, LLC · BROOKFIELD, WI
MARINER · BROOKFIELD, WI
M HOLDINGS SECURITIES, INC. · Brookfield, WI
STATE FARM INVESTMENT MANAGEMENT CORP. · Brookfield, WI
AMERIPRISE FINANCIAL SERVICES, LLC · Brookfield, WI
ENTASIS ASSET MANAGEMENT LLC · Brookfield, WI
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · BROOKFIELD, WI
WHN INVESTOR SERVICES, INC. · BROOKFIELD, WI

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