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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth Paul Cerruto | 862984 | 4 | 05/06/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James William Wood | 2794465 | 1 | 11/01/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Allan Jaak Vare | 1508224 | 1 | 09/25/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Eric Bourke | 2412223 | 3 | 04/05/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Carmen David Cappadona | 1092977 | 1 | 03/01/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Todd Duane Mitchell | 1411010 | 1 | 12/30/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Richard Wolfgram | 471462 | 1 | 10/25/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Winn | 1198523 | 4 | 08/31/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Wayne Christiansen | 1906425 | 2 | 07/05/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Thomas Cone | 1171933 | 1 | 04/27/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |