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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Alan Seidler | 4281220 | 1 | 08/02/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Justin Howard Parkhurst | 5202789 | 3 | 07/24/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jimmy J Galindo | 2922619 | 4 | 02/29/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jimmy J Galindo | 2922619 | 4 | 01/02/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Justin Howard Parkhurst | 5202789 | 3 | 12/04/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gordon Scott Wallace | 1905279 | 2 | 07/05/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Elizaveta McCartney | 5092303 | 1 | 05/16/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jacob Harrison Leddy | 6073108 | 1 | 05/09/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gordon Scott Wallace | 1905279 | 2 | 04/11/2023 | Regulatory | 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 |