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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 2008-05-02
  • TX RA
    APPROVED
    Since 2008-05-02

Branch Locations

2 Post Oak Central 1980 Post Oak Blvd, Suite 1630 & 1525, Houston, TX 77056-3859 • United States

Houston, TX • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Rbc Capital Markets , Llc Houston TX 05/2008 Present
Previous Registrations
  • 2002-06-03 → 2008-05-21
    Ubs International Inc.
    Houston, TX
    Houston, TX
  • 1999-10-25 → 2002-06-01
    Houston, TX
Other Businesses

Name of Entity: Block 33 H&TC Ry Co Ward County, Texas Address of Business: Section 8 Block 33 Ward County, Texas Business Descriptions: Partial and passive owner in mineral rights Is investment-related: No Projected Start Date: 12/31/03 Projected End Date: 01/17/51 Capacity: Owner - Passive Duties Performed: Filing of tax bills, collection of checks issued to me personally 0 hours devoted to this OBA per month 0 hours devoted during security trading hours per month

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-01-21
S63 Uniform Securities Agent State Law Examination 1986-02-27
  • S65 Uniform Investment Adviser Law Examination
    1992-01-21
  • S63 Uniform Securities Agent State Law Examination
    1986-02-27
Other Names
  • Matt Krohn
  • Matt Krohn
  • Albert Mathias Krohn
  • Albert Mathias Krohn
  • Albert M Krohn
  • Albert M Krohn

View on SEC IAPD

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