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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 2020-09-17
IA RA APPROVED 2020-03-09
  • TX RA
    APPROVED_RES
    Since 2020-09-17
  • IA RA
    APPROVED
    Since 2020-03-09

Branch Locations

1250 Nw 128Th Street Suite 200, Clive, IA 50325-7474 • United States

West Des Moines, IA • 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
Wells Fargo Advisors Llc Des Moines IA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Des Moines IA 11/2016 03/2020
Rbc Capital Markets, Llc Clive IA 03/2020 Present
City National Bank Clive IA 05/2020 Present
Previous Registrations
  • 2011-01-03 → 2020-03-12
    Charlotte, NC
    Minneapolis, MN
    West Des Moines, IA
    Minneapolis, MN
    Tarpon Springs, FL
  • 2005-11-17 → 2011-01-03
    Wells Fargo Investments, Llc
    Des Moines, IA
    Des Moines, IA
Other Businesses

(1) Address - Des Moines IA 50309 Business Description - Organization that reduces poverty Business is not investment related Projected Start Date: 03/11/20 Capacity: Committee/Council Member (not associated with the Board of Directors) Duties Performed: Community Leadership Hours Devoted to this OBA Per Month: 1 Hours Devoted to this OBA during business hours: 0 (2) Address - 601 Grand Ave Des Moines IA 50309 Business Description - Advances Stewardship within the Diocese Business is not investment related Projected Start Date: 03/11/20 Capacity: Board of Directors * Duties Performed: Community representation and organizational support Hours Devoted to this OBA Per Month: 1 Hours Devoted to this OBA during business hours: 0 (3)NAME OF ENTITY: Nyame Do Womens Center - Divine Access ADDRESS: c/o Brenda Miller President 5526 Cottonwood Circle West Des Moines 50266 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: The program in Ghana set up to teach women to learn the trade of sewing, so can support family CAPACITY: Board of Directors * START DATE: 04/24/20 DUTIES: Serve a sounding board for directors. HOURS DEVOTED PER MONTH: 0.25 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (4) NAME OF ENTITY: Catholic Diocese of Des Moines Iowa ADDRESS: 601 Grand, Des Moines, IA 50309 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Religious Institution START DATE: May 01, 2026 CAPACITY: Committee/Council Member DUTIES: Chair the financial council (5-year term, 2 years already served) HOURS DEVOTED PER MONTH: 2 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 2

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-11-15
S63 Uniform Securities Agent State Law Examination 1992-05-18
  • S66 Uniform Combined State Law Examination
    2005-11-15
  • S63 Uniform Securities Agent State Law Examination
    1992-05-18
Other Names
  • Nancy Jo Tierney
  • Nancy J Anstoetter

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