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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
MN RA APPROVED 2013-11-19
  • TX RA
    APPROVED_RES
    Since 2015-02-05
  • MN RA
    APPROVED
    Since 2013-11-19

Branch Locations

971 Sibley Memorial Hwy Suite 100, St. Paul, MN 55118-2250 • United States

Hastings, 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 St Paul MN 03/1998 Present
Self Employed South St Paul MN 02/1986 Present
Other Businesses

(1) OPTIMIST CLUB OF W ST PAUL, MN STARTED 7/89 AND NO END DATE. SECRETARY/TREASURER UNTIL 10/10. AS MEMBER GET VOTE ON HOW MONEY IS SPENT. DEVOTE 2.5 HRS PER MONTH. (2) NAME OF ENTITY: Minnesota Sings; ADDRESS: 12045 Point Douglas Dr S Hastings, MN 55033; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: A contest between cities throughout Minnesota designed for amateur vocalists; CAPACITY: Employee, Owner - Active, Other; START DATE: 01/01/2010; DUTIES: As the Lead Volunteer, I oversee the entire event. My main job is to tell the cities about the event and encourage them to participate. I hire the judges. I recruit people to work the event as volunteers. I find the location to hold the finals. I decide on what the prizes will be. I go out and find sponsors; HOURS DEVOTED PER MONTH: 03; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: None; (3) NAME OF ENTITY: First Presbyterian Church of Hastings ADDRESS: 602 Vermillion Street Hastings, MN 55033 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Presbyterian Church I was elected to The Session (basically the Board of Directors CAPACITY: Other - I was elected to be on The Session (basically the Board of Directors for the church START DATE 05/08/2023 DUTIES: I advise and vote on matters. HOURS DEVOTED PER MONTH: 30 minutes HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 30 minutes

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-23
S63 Uniform Securities Agent State Law Examination 1986-11-26
  • S65 Uniform Investment Adviser Law Examination
    1999-12-23
  • S63 Uniform Securities Agent State Law Examination
    1986-11-26
Other Names
  • Charles H Spavin

View on SEC IAPD

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