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 |
| 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 |
| Patricia Tracy Jenkins | 4215608 | 3 | 03/15/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Theodore John Crowley | 1453864 | 2 | 07/23/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emmanuel Echaus Calayag | 1454604 | 8 | 06/04/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emmanuel Echaus Calayag | 1454604 | 8 | 06/04/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Terence Robert Gross | 7110360 | 1 | 03/20/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |