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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2017-07-12
  • MN RA
    APPROVED
    Since 2017-07-12

Branch Locations

250 Nicollet Mall Suite 1700, 16Th Floor, Minneapolis, MN 55401 • United States

Maple Grove, MN • 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
U.S. Bancorp Investments, Inc. Saint Paul MN 03/2012 07/2017
Rbc Capital Markets, Llc Minneapolis MN 07/2017 Present
Previous Registrations
Other Businesses

NAME OF ENTITY: LAMM LLC, ADDRESS: 10051 Troy Lane North Maple Grove, MN 55311; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Real Estate Rental; CAPACITY: Owner/Passive; START DATE: 07/01/21; DUTIES: Owner; HOURS DEVOTED PER MONTH: None; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: None;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-09-03
  • S66 Uniform Combined State Law Examination
    1999-09-03

View on SEC IAPD

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