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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_RES 2024-05-13
NY RA APPROVED 2024-05-08
  • TX RA
    APPROVED_RES
    Since 2024-05-13
  • NY RA
    APPROVED
    Since 2024-05-08

Branch Locations

1 Jericho Plaza Suite 106, Jericho, NY 11753-1635 • United States

Massapequa, NY • 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
Shields & Company Locust Valley NY 05/1986 09/2017
Wellington Shields & Co., Llc New York NY 02/2009 09/2017
Janney Montgomery Scott Llc Garden City NY 09/2017 05/2024
Rbc Capital Markets, Llc Jericho NY 05/2024 Present
Previous Registrations
Other Businesses

1) Tomorrow's Hope Foundation II, 50 Charles Lindbergh Blvd, Ste. 500, Uniondale, NY 11553; Nature: Non-profit that raises funds to distribute for Catholic Elementary School tuition in the Diocese of Rockville Centre; Title: Board Member - Executive Committee and Investment Committee Member; Duties: Primarily fundraising; Devotes: 4-hours/month: Meeting approximately once month; Not compensated. 2) Kellenberg Memorial High School; Investment-Related; 1400 Glenn Curtiss Blvd. Uniondale, NY 11553; start date 09/04/2018; Investment committee member; advisory role of regularly reviewing management of the school endowment fund; 2hrs/month; not compensated 3) LIU Post; Investment Related; 720 Northern Blvd, Greenvale, NY; Nature: Dean's Advisory Board, College of Management; Dean's Advisory Board Member; 05/2021; 1 hr per month-0 hr per trading day; Duties: Mentoring students, advising Dean on relevant business issues and serving as role model to students

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-01-03
S63 Uniform Securities Agent State Law Examination 1986-05-09
  • S65 Uniform Investment Adviser Law Examination
    2018-01-03
  • S63 Uniform Securities Agent State Law Examination
    1986-05-09
Other Names
  • Marguerite Kramer Kircher
  • Marguerite Susan Kramer
  • Marguerite Susan Kramer
  • Mauguerite Susan Kramer

View on SEC IAPD

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