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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 2015-02-05
WI RA APPROVED 1998-04-15
  • TX RA
    APPROVED_RES
    Since 2015-02-05
  • WI RA
    APPROVED
    Since 1998-04-15

Branch Locations

401 Pinnacle Way Suite 152, Eau Claire, WI 54701 • United States

Eau Claire, WI • 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
Rbc Capital Markets Corporationrbc Capital Markets Corporation Eau Claire WI 03/2008 Present
  • 03/2008 → Present
    Rbc Capital Markets Corporationrbc Capital Markets Corporation
    Eau Claire, WI
Other Businesses

(1) COMMERCIAL LAND: ADDRESS: 6702 TIMBER LANE, EAU CLAIRE, WI 54701; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: PURCHASE COMMERCIAL LAND; CAPACITY: OWNER-PASSIVE; START DATE: 3/12/2004; DUTIES: PURCHASE OF VACANT LAND TO EVENTUALLY SELL IN FUTURE; HOURS DEVOTED PER MONTH: 0; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. (2) CLEGHORN LIONS CLUB; ADDRESS: S11951 HIGHWAY HHI, ELEVA, WI 54738; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: SERVICE CLUB; CAPACITY: OTHER-MEMBER; START DATE: 1/1/2017; DUTIES: SERVICE CLUB VOLUNTEERING TO THE COMMUNITY; HOURS DEVOTED PER MONTH: <1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. 3) NAME OF ENTITY: St. Ambrose Financial Services Inc. ADDRESS: 3710 East Ave. S La Crosse, WI 54601 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Provides administrative services, deposits and loans to the Diocese of LaCrosse CAPACITY: Board of Directors * START DATE: 10/1/22 DUTIES: Serving a specified period of time on the Board of Directors. HOURS DEVOTED PER MONTH: 0.5 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-10-07
S63 Uniform Securities Agent State Law Examination 1986-09-02
  • S65 Uniform Investment Adviser Law Examination
    2005-10-07
  • S63 Uniform Securities Agent State Law Examination
    1986-09-02
Other Names
  • Thomas Quigley

View on SEC IAPD

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