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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2018-01-16
TX RA APPROVED_RES 2018-01-16
  • CA RA
    APPROVED
    Since 2018-01-16
  • TX RA
    APPROVED_RES
    Since 2018-01-16

Branch Locations

99 Almaden Boulevard Suite 300, San Jose, CA 95113-1603 • United States

San Jose, CA • 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 Advisors Llc Silicon Valley CA 11/2014 11/2016
Wells Fargo Clearing Services, Llc Silicon Valley CA 11/2016 01/2018
Rbc Capital Markets, Llc. San Jose CA 01/2018 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-09-05
  • S66 Uniform Combined State Law Examination
    2002-09-05
Other Names
  • Lisa Ann Rovegno
  • Lisa Ball

View on SEC IAPD

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