Our Staff has compiled our research into a database of FINRA Broker Disclosures for RBC Capital Markets, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Katherine Antonia Simmonds | 4757039 | 1 | 08/26/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carol Ann Goetsch | 1528051 | 1 | 12/10/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jaime Louis Durando | 1564411 | 1 | 09/17/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Trey Nicholas Haser | 7446439 | 1 | 06/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brianna Marie Kvam | 4958094 | 1 | 01/21/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lauren Jenae Valdes | 5841383 | 4 | 12/22/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tyler Nicholas Benson | 7519843 | 1 | 12/22/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert David Cummings | 4361409 | 1 | 05/21/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Patricia Tracy Jenkins | 4215608 | 3 | 03/15/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Grover Matthew Loftin | 7295595 | 1 | 02/12/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |