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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 2023-11-27
MN RA APPROVED 2023-10-02
  • TX RA
    APPROVED
    Since 2023-11-27
  • MN RA
    APPROVED
    Since 2023-10-02

Branch Locations

1420 London Road Suite 201, Duluth, MN 55805-2425 • United States

Hermantown, MN • 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
Wells Fargo Home Mortgage Minneapolis MN 09/2016 02/2018
Fedex Express Madison WI 11/2015 09/2016
Allianz Life Insurance Company Of North America Minneapolis MN 02/2018 05/2022
Allianz Life Financial Services Llc Minneapolis MN 02/2018 05/2022
Wells Fargo Clearing Services, Llc Duluth MN 05/2022 10/2023
Rbc Capital Markets, Llc Duluth MN 10/2023 Present
  • 09/2016 → 02/2018
    Wells Fargo Home Mortgage
    Minneapolis, MN
  • 11/2015 → 09/2016
    Fedex Express
    Madison, WI
  • 02/2018 → 05/2022
    Allianz Life Insurance Company Of North America
    Minneapolis, MN
  • 02/2018 → 05/2022
    Allianz Life Financial Services Llc
    Minneapolis, MN
  • 05/2022 → 10/2023
    Duluth, MN
  • 10/2023 → Present
    Duluth, MN
Previous Registrations
Other Businesses

(1) NAME OF ENTITY: Never Surrender Inc. ADDRESS: 4894 Miller Trunk Hwy Hermantown, MN 55811 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Never Surrender Board Member and Finance Committee Member CAPACITY: Board of Directors *, Committee/Council Member (not associated with the Board of Directors) Other: I will be a board member helping organize the non-profit events and helping on their finance committee. This is a volunteer position with no pay associated. START DATE: 12/01/2023 DUTIES: As a member of the finance committee, I will work with the committee and board to help decide where donation dollars may go to help ALS patients. I will also help oversee the finances for the non-profit to make sure their balance sheet is orderly and correct. HOURS DEVOTED PER MONTH: 00.125 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-06-21
S63 Uniform Securities Agent State Law Examination 2018-03-29
  • S66 Uniform Combined State Law Examination
    2022-06-21
  • S63 Uniform Securities Agent State Law Examination
    2018-03-29
Other Names
  • Travis James Klingeisen

View on SEC IAPD

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