Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
MARNIE JO O'BRIEN
MARNIE J HARRIS, MARNIE J OBRIEN
CRD#: 1991040
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 8800 Firethorn Lane
Suite 200
LINCOLN, NE 68520
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2008 - 2008 (<1 year)2 FIRMS2008 - 2021 (12 years)2 FIRMS2021 - Present (4 years)BMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2007 - 2008 (1 year)BMORGAN STANLEY DW INC. (CRD# 7556)2000 - 2007 (7 years)
License(s)

State Registrations

B
Arizona 1/14/2021
B
Missouri 1/14/2021
B
California 1/14/2021
B
Nebraska 1/14/2021
B
Colorado 1/14/2021
IA
Nebraska 1/25/2021
B
Florida 1/14/2021
B
Oklahoma 1/14/2021
B
Georgia 1/14/2021
B
South Dakota 1/14/2021
B
Idaho 10/15/2021
B
Texas 1/14/2021
B
Illinois 10/14/2022
IA
Texas 1/21/2021
B
Iowa 1/14/2021
B
Vermont 1/14/2021
B
Kansas 1/14/2021
B
Virginia 1/14/2021
B
Maryland 1/10/2023
B
Wisconsin 11/24/2021
B
Minnesota 1/14/2021
B
Wyoming 1/14/2021

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)
8800 Firethorn Lane Suite 200, LINCOLN, NE 68520
Lincoln, NE
Registered with this firm since 1/21/2021
B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
8800 Firethorn Lane Suite 200, LINCOLN, NE 68520
Lincoln, NE
Registered with this firm since 1/14/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/10/2008 - 01/25/2021 UBS FINANCIAL SERVICES INC. (CRD#:8174) LINCOLN, NE
B
 12/05/2008 - 01/25/2021 UBS FINANCIAL SERVICES INC. (CRD#:8174) LINCOLN, NE
IA
 01/11/2008 - 12/08/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) LINCOLN, NE
B
 04/02/2007 - 12/08/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) LINCOLN, NE
IA
 01/07/2008 - 01/10/2008 MORGAN STANLEY & CO., INCORPORATED (CRD#:8209) LINCOLN, NE
B
 04/27/2000 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) LINCOLN, NE
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.