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Winola Sue Roy

Rbc Capital Markets, LLC

Fort Worth, TX

Saginaw, TX

CRD 1588614

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Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
VI RA APPROVED 2017-12-11
TX RA APPROVED 2017-12-04
  • VI RA
    APPROVED
    Since 2017-12-11
  • TX RA
    APPROVED
    Since 2017-12-04

Branch Locations

3230 Camp Bowie Blvd Suite 750, Fort Worth, TX 76107-5769 • United States

Saginaw, TX • 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 Corporation Fort Worth TX 03/2008 Present
  • 03/2008 → Present
    Rbc Capital Markets Corporation
    Fort Worth, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-11-20
S63 Uniform Securities Agent State Law Examination 2008-11-05
  • S65 Uniform Investment Adviser Law Examination
    2017-11-20
  • S63 Uniform Securities Agent State Law Examination
    2008-11-05
Other Names
  • Winola Sue Horn
  • Winola Sue Horn
  • Winola Sue Wolfe

View on SEC IAPD

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