Paul Thomas Hert

Current Employers

Rbc Capital Markets, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2017-03-30
AZ	RA	APPROVED	2016-02-04
WA	RA	APPROVED	2007-07-20

TX RA
APPROVED_RES

Since 2017-03-30
AZ RA
APPROVED

Since 2016-02-04
WA RA
APPROVED

Since 2007-07-20

Branch Locations

2398 East Camelback Road Suite 700, Phoenix, AZ 85016-3467 • United States

Scottsdale, AZ • 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

Organization	City	State	From	To
Rbc Capital Markets Corporation	Kirkland	WA	03/2008	Present

03/2008 → Present

Rbc Capital Markets Corporation

Kirkland, WA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-07-19
S63	Uniform Securities Agent State Law Examination	1988-09-27

S65 Uniform Investment Adviser Law Examination

2007-07-19
S63 Uniform Securities Agent State Law Examination

1988-09-27

View on SEC IAPD

Current Employers

Rbc Capital Markets, Llc

Disclosures

Employment History

Exams

Other Firms

Other Investors

Other Offices

Reviews