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 |
|---|---|---|---|---|---|---|---|---|
| Erik Lee Yates | 5129693 | 1 | 11/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Zachariah Daniel Ingalls | 5060440 | 3 | 08/08/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Todd Devin Aldrich | 1851384 | 1 | 07/15/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ao Vang | 6556402 | 2 | 12/29/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ao Vang | 6556402 | 2 | 12/18/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michelle Marie Kolasa | 2449934 | 1 | 12/18/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Angela M Tyo | 3227732 | 1 | 09/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Michael Tavano | 2042567 | 1 | 09/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gordon Todd Dale | 869302 | 2 | 06/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Curtis Andrew McKay | 1451375 | 2 | 05/04/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |