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ROBERT WAYNE DIETZ
CRD#: 1236778
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RBC CAPITAL MARKETS, LLCCRD#: 31194 1801 13TH STREET
SUITE 310
BOULDER, CO 80302-5342
SUITE 310
BOULDER, CO 80302-5342
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Disclosures
40
Years of Experience
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State Registrations
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Alabama 5/13/2019
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Nebraska 8/2/2002
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Arizona 3/2/1998
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Nevada 2/21/2007
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California 3/2/1998
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New Mexico 6/3/2002
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Colorado 3/2/1998
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New York 1/14/2013
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Colorado 1/1/1999
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Ohio 3/23/2021
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Connecticut 3/31/2021
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Oklahoma 3/23/2017
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Delaware 10/30/2018
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Oregon 10/2/2000
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Florida 1/26/2004
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Pennsylvania 1/15/2008
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Georgia 6/20/2024
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Rhode Island 1/15/2019
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Idaho 3/3/2006
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Tennessee 7/16/2021
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Iowa 3/2/1998
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Texas 10/20/2003
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Kansas 3/31/2003
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Texas 2/19/2010
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Kentucky 4/1/2021
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Utah 1/26/2004
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Maryland 11/20/2024
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Virginia 1/5/1999
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Michigan 1/29/2007
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Washington 3/2/1998
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Minnesota 12/21/2020
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Wyoming 4/1/2021
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Missouri 6/25/2024
SRO Registrations
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Registered with this firm since 1/1/1999
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Registered with this firm since 3/2/1998
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 10/17/1994 - 03/02/1998 | ||
B | 12/01/1987 - 10/17/1994 | MINNEAPOLIS, MN | |
B | 03/22/1984 - 12/15/1987 |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.