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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2023-01-10
UT RA APPROVED 2014-09-02
CO RA APPROVED 2007-04-30
  • WA RA
    APPROVED
    Since 2023-01-10
  • UT RA
    APPROVED
    Since 2014-09-02
  • CO RA
    APPROVED
    Since 2007-04-30

Branch Locations

1801 California Street Suite 3900, Denver, CO 80202-5822 • United States

Aurora, CO • 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 Engelwood CO 03/2008 Present
  • 03/2008 → Present
    Rbc Capital Markets Corporation
    Engelwood, CO
Previous Registrations
Other Businesses

1) Name: Tom & Kim Rains Address: 26464 E. Jewell Avenue Aurora, CO 80018 Business Description: This is a property we own Start Date: 10/26/20 Capacity: Owner - Active Duties Performed: This is a piece of property we own (it was my husband's family farm at one point). It is currently up for sale, however, we may lease the property in the near future. Devoted Time: 0, 0 (2) NAME OF ENTITY: Coal Creek Valley Farm, LLC ADDRESS: 27503 E. Euclid Drive Aurora, CO 80016 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: LLC for Farm Property. CAPACITY: Owner - Active START DATE: 01/02/2024 DUTIES: This is an LLC being created by my husband & myself for the sole purpose of "potentially" re-registrating our farm property from joint ownership to the LLC.. HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-02-25
S63 Uniform Securities Agent State Law Examination 2000-09-14
  • S66 Uniform Combined State Law Examination
    2006-02-25
  • S63 Uniform Securities Agent State Law Examination
    2000-09-14
Other Names
  • Kimberley K Purnell
  • Kim Purnell
  • Kimberley K Purnell
  • Kimberley Pelton
  • Kimberley K Pelton

View on SEC IAPD

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