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ROBERT BRUCE MARSHALL
CRD#: 1121973
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 345 CALIFORNIA STREET
SAN FRANCISCO, CA 94104-2642
Registration History
1985199019952000200520102015202020252 FIRMS2002 - 2006 (3 years)2 FIRMS2006 - 2007 (1 year)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2013 (3 years)2 FIRMS2013 - Present (11 years)BSUTRO & CO. INCORPORATED (CRD# 801)1995 - 2002 (7 years)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 1994 (6 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1986 - 1988 (2 years)BRFS PARTNERS (CRD# 18119)1988 - 1988 (<1 year)BUNDERWOOD, NEUHAUS & CO., INCO... (CRD# 839)1983 - 1985 (2 years)
Disclosure(s)
View By:
11/7/2001
Customer Dispute
Settled
License(s)

State Registrations

B
Alaska 2/24/2020

B
Nevada 5/1/2013

B
Arizona 10/4/2019

B
New Mexico 5/14/2013

B
California 5/1/2013

B
New York 5/1/2013

IA
California 5/1/2013

B
Ohio 4/2/2018

B
Colorado 9/27/2021

B
Oregon 5/1/2013

B
Connecticut 8/23/2013

B
Pennsylvania 5/1/2013

B
Florida 1/7/2025

B
South Carolina 5/2/2013

B
Georgia 5/1/2013

B
Texas 5/1/2013

B
Hawaii 5/7/2013

IA
Texas 12/22/2015

B
Iowa 1/6/2020

B
Utah 5/1/2013

B
Kentucky 12/17/2014

B
Vermont 4/2/2024

B
Maine 4/6/2023

B
Washington 5/1/2013

B
Maryland 1/3/2020

B
Wisconsin 1/6/2015

B
Massachusetts 5/1/2013

SRO Registrations

B
BOX Exchange LLC

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe C2 Exchange, Inc.

B
Cboe EDGA Exchange, Inc.

B
Cboe EDGX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Investors' Exchange LLC

B
Long-Term Stock Exchange, Inc.

B
MEMX LLC

B
MIAX PEARL, LLC

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
NYSE National, Inc.

B
Nasdaq BX, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RBC CAPITAL MARKETS, LLC (CRD#:31194)
345 CALIFORNIA STREET, SAN FRANCISCO, CA 94104-2642
SAN FRANCISCO, CA
Registered with this firm since 5/1/2013

B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
345 CALIFORNIA STREET, SAN FRANCISCO, CA 94104-2642
SAN FRANCISCO, CA
Registered with this firm since 5/1/2013

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/01/2009 - 05/30/2013 MORGAN STANLEY (CRD#:149777) SAN FRANCISCO, CA
B
06/01/2009 - 05/30/2013 MORGAN STANLEY (CRD#:149777) SAN FRANCISCO, CA
IA
04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SAN FRANCISCO, CA
B
04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SAN FRANCISCO, CA
IA
01/06/2006 - 04/02/2007 MORGAN STANLEY (CRD#:7556) SAN FRANCISCO, CA
B
01/06/2006 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) SAN FRANCISCO, CA
IA
05/14/2002 - 01/24/2006 RBC DAIN RAUSCHER INC. (CRD#:31194) SAN FRANCISCO, CA
B
03/09/2002 - 01/24/2006 RBC DAIN RAUSCHER INC. (CRD#:31194) NEW YORK, NY
B
02/07/1995 - 03/09/2002 SUTRO & CO. INCORPORATED (CRD#:801) SAN FRANCISCO, CA
B
09/15/1988 - 12/16/1994 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
08/29/1986 - 08/17/1988 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
B
07/25/1988 - 08/11/1988 RFS PARTNERS (CRD#:18119)
B
04/19/1983 - 05/21/1985 UNDERWOOD, NEUHAUS & CO., INCORPORATED (CRD#:839)
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Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.