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Dennis A Lester

Rbc Capital Markets, LLC

Great Falls, MT

Great Falls, MT

CRD 3172896

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Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2010-02-19
MT RA APPROVED 2001-02-02
  • TX RA
    APPROVED_RES
    Since 2010-02-19
  • MT RA
    APPROVED
    Since 2001-02-02

Branch Locations

101 River Drive North Suite 101, Great Falls, MT 59401-4200 • United States

Great Falls, MT • 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 Corporation Great Falls MT 03/2008 Present
  • 03/2008 → Present
    Rbc Capital Markets Corporation
    Great Falls, MT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-02-26
S63 Uniform Securities Agent State Law Examination 1999-02-12
  • S65 Uniform Investment Adviser Law Examination
    1999-02-26
  • S63 Uniform Securities Agent State Law Examination
    1999-02-12

View on SEC IAPD

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