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Steven John Ferrarini

Rbc Capital Markets, LLC

Omaha, NE

Valley, NE

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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
NE RA APPROVED 2013-02-01
  • TX RA
    APPROVED_RES
    Since 2015-02-05
  • NE RA
    APPROVED
    Since 2013-02-01

Branch Locations

12910 Pierce St. Suite 300, Omaha, NE 68144-1106 • United States

Valley, NE • 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, Llc Omaha NE 01/2013 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-10-24
S63 Uniform Securities Agent State Law Examination 1987-06-19
  • S65 Uniform Investment Adviser Law Examination
    1997-10-24
  • S63 Uniform Securities Agent State Law Examination
    1987-06-19
Other Names
  • Steve Ferraini
  • Steve John Ferrarini
  • Steve Ferrarini

View on SEC IAPD

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