Individual Firm
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PAUL M MOSQUEDA
CRD#: 1549815
IA
B
RBC CAPITAL MARKETS, LLCCRD#: 31194 5250 NORTH PALM AVENUE
SUITE 111
FRESNO, CA 93704-2226
SUITE 111
FRESNO, CA 93704-2226
View By:
12/30/2009
Customer Dispute
Denied
State Registrations
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Arizona 10/23/2009
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Nevada 2/27/2009
B
California 2/27/2009
B
New Jersey 4/4/2019
IA
California 3/3/2009
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New Mexico 2/27/2009
B
Colorado 11/3/2016
B
New York 8/3/2016
B
Delaware 1/11/2022
B
North Carolina 9/27/2016
B
Florida 11/11/2021
B
Oklahoma 1/21/2015
B
Georgia 2/9/2021
B
Oregon 11/3/2016
B
Hawaii 11/11/2016
B
South Dakota 1/26/2021
B
Idaho 2/24/2010
B
Tennessee 3/20/2023
B
Iowa 3/6/2019
B
Texas 12/19/2011
B
Kentucky 7/22/2019
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Texas 2/5/2015
B
Maryland 3/18/2020
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Virginia 2/27/2009
B
Massachusetts 2/16/2024
B
Washington 11/11/2016
B
Michigan 2/13/2013
B
Wisconsin 11/18/2019
B
Montana 9/14/2020
B
Wyoming 2/18/2020
SRO Registrations
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 3/3/2009
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Registered with this firm since 2/27/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/16/2003 - 03/19/2009 | FRESNO, CA | |
B | 05/16/2003 - 03/19/2009 | FRESNO, CA | |
IA | 07/08/1997 - 05/19/2003 | FRESNO, CA | |
B | 09/29/1986 - 05/19/2003 | PURCHASE, NY |
For additional information about investment advisers or broker-dealers, please visit
B
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.
IA
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.