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 |
|---|---|---|---|---|---|---|---|---|
| Curtis Andrew McKay | 1451375 | 2 | 05/04/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Wendy Kay Tjelmeland | 1192726 | 3 | 04/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Wendy Kay Tjelmeland | 1192726 | 3 | 03/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Olga R Taggart | 5271543 | 1 | 02/20/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eleanor Margia Currie-Harris | 3139152 | 1 | 12/08/2014 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Ryan Scott Berry | 5673493 | 3 | 11/24/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Scott Berry | 5673493 | 3 | 10/31/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Scott Berry | 5673493 | 3 | 10/02/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |