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 |
|---|---|---|---|---|---|---|---|---|
| Douglas Andrew Sharon | 728393 | 4 | 09/30/1983 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Penelope W Kailing | 730997 | 5 | 09/14/1983 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Benson Cannon | 846338 | 3 | 06/17/1983 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Keith MacPherson | 316435 | 2 | 05/29/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Elliott Mitchell Hollub | 248855 | 3 | 04/14/1964 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Walton Brown | 33188 | 4 | 11/30/-0001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Elliott Mitchell Hollub | 248855 | 3 | 11/30/-0001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |