Best Investors Account Sign in

Rick Lynn Patton

Rbc Capital Markets, LLC

Wayzata, MN

Minnetonka, MN

Claim This Profile
Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-10-24
MN RA APPROVED 2013-11-19
  • TX RA
    APPROVED
    Since 2022-10-24
  • MN RA
    APPROVED
    Since 2013-11-19

Branch Locations

641 Lake St. E. Suite 230, Wayzata, MN 55391 • United States

Minnetonka, MN • 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 Wayzata MN 03/2008 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-08-22
S63 Uniform Securities Agent State Law Examination 1986-07-30
  • S65 Uniform Investment Adviser Law Examination
    2007-08-22
  • S63 Uniform Securities Agent State Law Examination
    1986-07-30

View on SEC IAPD

More in Wayzata, MN

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor