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SCOTT ELLIOT BERN
SCOTT BERN
CRD#: 1653507
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 NEWPORT SQUARE BUILDING
10528 N. PORT WASHINGTON ROAD
MEQUON, WI 53092
Registration History
199019952000200520102015202020252 FIRMS2007 - Present (17 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1989 - 2007 (18 years)BTHOMSON MCKINNON SECURITIES INC. (CRD# 829)1987 - 1989 (1 year)
License(s)

State Registrations

B
Arizona 11/15/2007

B
Missouri 7/24/2014

B
California 11/15/2007

B
Nevada 6/8/2023

B
Colorado 7/25/2023

B
New Mexico 11/15/2007

B
Delaware 11/15/2007

B
North Carolina 7/24/2014

B
Florida 11/15/2007

B
Ohio 2/6/2008

B
Hawaii 6/8/2023

B
Oregon 7/24/2014

B
Idaho 2/25/2015

B
Pennsylvania 11/18/2024

B
Illinois 11/15/2007

B
Texas 3/7/2011

B
Iowa 7/24/2014

IA
Texas 3/30/2017

B
Kentucky 11/15/2007

B
Virginia 11/15/2007

B
Massachusetts 2/28/2022

B
Washington 7/10/2018

B
Michigan 7/3/2012

B
Wisconsin 11/15/2007

B
Minnesota 11/15/2007

IA
Wisconsin 11/15/2007

B
Mississippi 3/13/2019

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)
NEWPORT SQUARE BUILDING 10528 N. PORT WASHINGTON ROAD, MEQUON, WI 53092
MEQUON, WI
Registered with this firm since 11/15/2007

B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
NEWPORT SQUARE BUILDING 10528 N. PORT WASHINGTON ROAD, MEQUON, WI 53092
MEQUON, WI
Registered with this firm since 11/15/2007

Previous Registration(s)
th hidden textth hidden textNameLocation
B
03/01/1989 - 11/29/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MILWAUKEE, WI
B
05/21/1987 - 03/11/1989 THOMSON MCKINNON SECURITIES INC. (CRD#:829) NEW YORK, NY
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B
Broker
IA
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.