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Joseph Romain

Rbc Capital Markets, LLC

Stillwater, MN

Minneapolis, MN

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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
VI RA APPROVED 2024-12-11
TX RA APPROVED 2024-12-06
MN RA APPROVED 2024-11-26
  • VI RA
    APPROVED
    Since 2024-12-11
  • TX RA
    APPROVED
    Since 2024-12-06
  • MN RA
    APPROVED
    Since 2024-11-26

Branch Locations

350 N. Main Street Suite 106, Stillwater, MN 55082-7055 • United States

Minneapolis, 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
Rbc Capital Markets, Llc Minneapolis MN 07/2024 Present
Self Employed Crystal Lake IL 04/2021 07/2024
Student Des Moines IA 03/2013 04/2021
  • 07/2024 → Present
    Rbc Capital Markets, Llc
    Minneapolis, MN
  • 04/2021 → 07/2024
    Self Employed
    Crystal Lake, IL
  • 03/2013 → 04/2021
    Student
    Des Moines, IA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-11-26
  • S66 Uniform Combined State Law Examination
    2024-11-26

View on SEC IAPD

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