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THOMAS R WAHL JR
THOMAS RAYMOND WAHL JR, THOMAS RAYMOND JR WAHL, THOMAS R WAHL JR JR, THOMAS R WAHL JR. JR
CRD#: 1496142
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 WILTON MANORS, FL
Registration History
199019952000200520102015202020252 FIRMS2014 - Present (10 years)BMORGAN STANLEY (CRD# 149777)2009 - 2014 (5 years)BMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2007 - 2009 (2 years)BMORGAN STANLEY DW INC. (CRD# 7556)1999 - 2007 (7 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1994 - 1999 (5 years)BSMITH BARNEY INC. (CRD# 7059)1993 - 1994 (1 year)BLEHMAN BROTHERS INC. (CRD# 7506)1986 - 1993 (7 years)IAMORGAN STANLEY (CRD# 149777)2013 - 2014 (1 year)
Disclosure(s)
View By:
6/11/2007
Customer Dispute
Settled
2/11/2005
Customer Dispute
Settled
License(s)

State Registrations

B
California 10/30/2014

B
Nevada 2/3/2023

B
Colorado 10/21/2020

B
New Jersey 4/28/2020

B
District of Columbia 10/30/2014

B
New York 10/30/2014

B
Florida 11/20/2014

IA
New York 8/6/2021

IA
Florida 11/20/2014

B
North Carolina 10/30/2014

B
Georgia 10/30/2014

B
Ohio 10/31/2014

B
Illinois 10/30/2014

B
Pennsylvania 10/30/2014

B
Maine 11/5/2014

B
South Carolina 12/16/2014

B
Maryland 10/30/2014

B
Texas 10/30/2014

B
Massachusetts 11/3/2014

IA
Texas 10/30/2014

B
Mississippi 3/2/2017

B
Virginia 10/30/2014

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

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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)
WILTON MANORS, FL
Registered with this firm since 10/30/2014

B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
WILTON MANORS, FL
Registered with this firm since 10/30/2014

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/03/2013 - 11/13/2014 MORGAN STANLEY (CRD#:149777) ROCHESTER, NY
B
06/01/2009 - 11/13/2014 MORGAN STANLEY (CRD#:149777) ROCHESTER, NY
B
04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) ROCHESTER, NY
B
09/13/1999 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) ROCHESTER, NY
B
07/06/1994 - 09/14/1999 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
07/31/1993 - 07/13/1994 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
05/23/1986 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
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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.