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Claudia J Peppard

Rbc Capital Markets, LLC

Princeton, NJ

Philadelphia, PA

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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2025-03-04
NY RA APPROVED 2021-09-15
TX RA APPROVED 2021-09-15
NJ RA APPROVED 2021-05-07
  • PA RA
    APPROVED
    Since 2025-03-04
  • NY RA
    APPROVED
    Since 2021-09-15
  • TX RA
    APPROVED
    Since 2021-09-15
  • NJ RA
    APPROVED
    Since 2021-05-07

Branch Locations

90 Nassau Street 5Th Fl, Princeton, NJ 08542 • United States

Philadelphia, PA • 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.(8174) Princeton NJ 10/2018 05/2021
Student Lawrenceville NJ 06/2008 09/2018
Rbc Capital Markets, Llc Princeton NJ 05/2021 Present
Synergy Princeton NJ 08/2017 10/2018
  • 10/2018 → 05/2021
    Ubs Financial Services Inc.(8174)
    Princeton, NJ
  • 06/2008 → 09/2018
    Student
    Lawrenceville, NJ
  • 05/2021 → Present
    Rbc Capital Markets, Llc
    Princeton, NJ
  • 08/2017 → 10/2018
    Synergy
    Princeton, NJ
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-06-15
  • S66 Uniform Combined State Law Examination
    2020-06-15

View on SEC IAPD

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Other Offices

BLACKROCK INVESTMENT MANAGEMENT, LLC · PRINCETON, NJ
SONGBIRD CAPITAL, LLC · PRINCETON, NJ
J.P. MORGAN SECURITIES LLC · Princeton, NJ
SYSTEMATIC ALPHA INVESTMENTS, LLC · PRINCETON, NJ
PNC WEALTH MANAGEMENT LLC · PRINCETON, NJ
WATERMARK GROUP, INC. · PRINCETON, NJ
PRINCETON EQUITY GROUP · PRINCETON, NJ
MERCATOR PARTNERS · PRINCETON, NJ

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