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Nancy Ann Lake

Rbc Capital Markets, LLC

Sturgeon Bay, WI

Sturgeon Bay, WI

CRD 1699082

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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
TX RA APPROVED 2020-05-29
WI RA APPROVED 2020-05-29
  • TX RA
    APPROVED
    Since 2020-05-29
  • WI RA
    APPROVED
    Since 2020-05-29

Branch Locations

756 Jefferson St., Sturgeon Bay, WI 54235-2151 • United States

Sturgeon Bay, WI • 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 Sturgeon Bay WI 03/2008 03/2020
Rbc Capital Markets, Llc Sturgeon Bay WI 05/2020 Present
  • 03/2008 → 03/2020
    Rbc Capital Markets Corporation
    Sturgeon Bay, WI
  • 05/2020 → Present
    Rbc Capital Markets, Llc
    Sturgeon Bay, WI
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1989-02-02
  • S63 Uniform Securities Agent State Law Examination
    1989-02-02

View on SEC IAPD

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Nearby Investors

CHRIS CRAIN
PETER KOBIN
CARRIE LYNN SCHILZ

Nearby Offices

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · STURGEON BAY, WI
EDWARD JONES · STURGEON BAY, WI
THRIVENT INVESTMENT MANAGEMENT INC. · STURGEON BAY, WI

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