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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Patrick Raymond Calkins | 1051027 | 1 | 08/26/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Alan Sangerman | 1217549 | 4 | 09/02/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Walton Brown | 33188 | 4 | 07/25/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Barry Clemens | 860935 | 3 | 09/25/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Stephen Pawlak | 1245568 | 3 | 04/11/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sydney Dawn Fox | 1464482 | 1 | 12/27/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Michael Earl | 1234987 | 4 | 08/13/1986 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Benson Cannon | 846338 | 3 | 01/30/1984 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |