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Detailed Report
PATRICK GERARD HOWELL
PATRICK G HOWELL
CRD#: 1596024
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 5250 NORTH PALM AVENUE
SUITE 111
FRESNO, CA 93704-2226
Registration History
199019952000200520102015202020252 FIRMS1997 - 2006 (9 years)2 FIRMS2006 - 2006 (<1 year)2 FIRMS2006 - Present (18 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1987 - 1997 (9 years)
License(s)

State Registrations

B
Arizona 12/12/2017
B
New Mexico 1/12/2011
B
California 10/27/2006
B
New York 3/25/2013
IA
California 10/27/2006
B
North Carolina 10/17/2007
B
Colorado 10/27/2006
B
Oklahoma 3/25/2022
B
Connecticut 4/25/2017
B
Oregon 4/2/2013
B
Delaware 12/22/2021
B
Rhode Island 7/1/2019
B
Florida 7/13/2012
B
South Carolina 12/14/2012
B
Hawaii 2/27/2015
B
Tennessee 12/12/2017
B
Idaho 10/22/2020
B
Texas 10/27/2006
B
Illinois 8/28/2018
IA
Texas 6/28/2016
B
Michigan 11/6/2015
B
Utah 4/24/2017
B
Minnesota 10/27/2006
B
Virginia 9/7/2016
B
Missouri 10/27/2006
B
Washington 2/11/2022
B
Nevada 11/9/2012
B
Wisconsin 10/27/2006
B
New Jersey 2/19/2014

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

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)
5250 NORTH PALM AVENUE SUITE 111, FRESNO, CA 93704-2226
Fresno, CA
Registered with this firm since 10/27/2006
B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
5250 NORTH PALM AVENUE SUITE 111, FRESNO, CA 93704-2226
Fresno, CA
Registered with this firm since 10/27/2006
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/12/2006 - 11/08/2006 UBS FINANCIAL SERVICES INC. (CRD#:8174) FRESNO, CA
B
 08/12/2006 - 11/08/2006 UBS FINANCIAL SERVICES INC. (CRD#:8174) FRESNO, CA
IA
 09/16/1997 - 08/12/2006 PIPER JAFFRAY & CO. (CRD#:665) FRESNO, CA
B
 02/18/1997 - 08/12/2006 PIPER JAFFRAY & CO. (CRD#:665) FRESNO, CA
B
 03/24/1987 - 02/21/1997 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.