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Diane K Kohler

Rbc Capital Markets, LLC

San Francisco, CA

San Francisco, CA

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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 2023-06-13
TX RA APPROVED 2023-06-09
  • CA RA
    APPROVED
    Since 2023-06-13
  • TX RA
    APPROVED
    Since 2023-06-09

Branch Locations

345 California Street, San Francisco, CA 94104-2642 • United States

San Francisco, 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
First Republic Securities Company San Francisco CA 09/2008 04/2017
First Republic Securities Company, Llc San Francisco CA 04/2017 06/2023
First Republic Investment Management, Inc. San Francisco CA 04/2017 06/2023
Rbc Capital Markets, Llc San Francisco CA 06/2023 Present
City National Bank San Francisco CA 10/2023 Present
  • 09/2008 → 04/2017
    First Republic Securities Company
    San Francisco, CA
  • 04/2017 → 06/2023
    First Republic Securities Company, Llc
    San Francisco, CA
  • 04/2017 → 06/2023
    First Republic Investment Management, Inc.
    San Francisco, CA
  • 06/2023 → Present
    Rbc Capital Markets, Llc
    San Francisco, CA
  • 10/2023 → Present
    City National Bank
    San Francisco, CA
Previous Registrations
  • 2010-07-14 → 2023-06-20
    J.P. Morgan Private Wealth Advisors Llc
    San Francisco, CA
    San Francisco, CA
  • 2008-09-16 → 2010-09-30
    First Republic Wealth Advisors, Llc
    San Francisco, CA
  • 2004-05-19 → 2008-09-18
    Lehman Brothers Inc.
    San Francisco, CA
    San Francisco, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-01-29
S63 Uniform Securities Agent State Law Examination 1991-09-20
  • S65 Uniform Investment Adviser Law Examination
    1996-01-29
  • S63 Uniform Securities Agent State Law Examination
    1991-09-20
Other Names
  • Un Chu Lee
  • Diane Uc Kimseu
  • Diane Un Chu Kimseu
  • Diane Kimseu Kohler

View on SEC IAPD

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1SHARPE CAPITAL LLC
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STRATEGIC ADVISERS LLC
VALEAS CAPITAL PARTNERS
ZENTARA EXCHANGE LTD

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JOHN HUGH MCDEVITT
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MARK ALLAN ANDERSON
RALPH MELVILLE DRYBROUGH
PAUL ROBERT TOUCHSTONE
Jacob David Mahoney
ROBIN TICKNOR BRINCKERHOFF

Other Offices

FORT POINT CAPITAL PARTNERS LLC · SAN FRANCISCO, CA
DIVISAR CAPITAL MANAGEMENT, LLC · SAN FRANCISCO, CA
CHARLES SCHWAB & CO., INC. · San Francisco, CA
1SHARPE CAPITAL LLC · SAN FRANCISCO, CA
RBC SECURITIES, INC · SAN FRANCISCO, CA
STRATEGIC ADVISERS LLC · SAN FRANCISCO, CA
VALEAS CAPITAL PARTNERS · SAN FRANCISCO, CA
ZENTARA EXCHANGE LTD · SAN FRANCISCO, CA

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