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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 2018-12-21
WA RA APPROVED 2018-12-14
  • TX RA
    APPROVED
    Since 2018-12-21
  • WA RA
    APPROVED
    Since 2018-12-14

Branch Locations

401 Union Street Suite 3600, Seattle, WA 98101 • United States

Seattle, 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
Microsoft Redmond WA 04/2014 09/2016
Rbc Capital Markets, Llc. Seattle WA 04/2018 Present
Unemployed Seattle WA 09/2016 04/2018
  • 04/2014 → 09/2016
    Microsoft
    Redmond, WA
  • 04/2018 → Present
    Seattle, WA
  • 09/2016 → 04/2018
    Unemployed
    Seattle, WA
Other Businesses

(1)Name of Entity: Rental Property; Address: 2151 34th Ave W Seattle, WA 98199; Investment/Not Investment Related: Yes; Business Description: Rental Property; Capacity: Owner Active; State Date: 05/02/05; Duties: Rental Owner; Hours Devoted per month: 0; Hours Devoted during securities hours per month: 0.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-12-14
  • S66 Uniform Combined State Law Examination
    2018-12-14
Other Names
  • Natasha Peppa Soma

View on SEC IAPD

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