Individual Firm
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THERESA ALLEN
THERESA BINKLEY, THERESA GIVENS
CRD#: 2183693
IA
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RBC CAPITAL MARKETS, LLCCRD#: 31194 610 NEWPORT CENTER DRIVE
SUITE 900
NEWPORT BEACH, CA 92660-6448
SUITE 900
NEWPORT BEACH, CA 92660-6448
View By:
4/11/2024
Customer Dispute
Settled
1/18/2024
Customer Dispute
Settled
1/16/2024
Customer Dispute
Settled
8/25/2023
Customer Dispute
Pending
8/11/2023
Customer Dispute
Denied
5/23/2023
Customer Dispute
Denied
5/3/2023
Customer Dispute
Denied
4/29/2023
Customer Dispute
Settled
State Registrations
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Arizona 4/24/2023
B
Montana 4/24/2023
B
California 4/24/2023
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Nevada 4/24/2023
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California 4/25/2023
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New Mexico 4/24/2023
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Colorado 4/24/2023
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New York 4/24/2023
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Connecticut 4/24/2023
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North Carolina 4/24/2023
B
District of Columbia 4/24/2023
B
Ohio 4/24/2023
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Florida 4/24/2023
B
Pennsylvania 4/24/2023
B
Georgia 4/24/2023
B
South Carolina 4/24/2023
B
Idaho 4/24/2023
B
Tennessee 4/24/2023
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Kansas 4/24/2023
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Texas 4/24/2023
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Louisiana 5/22/2023
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Texas 4/24/2023
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Maryland 4/24/2023
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Virginia 4/24/2023
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Massachusetts 4/24/2023
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Wyoming 4/24/2023
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 4/24/2023
B
Registered with this firm since 4/24/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/09/2010 - 05/18/2023 | NEWPORT BEACH, CA | |
B | 07/09/2010 - 05/18/2023 | NEWPORT BEACH, CA | |
IA | 11/09/2000 - 08/06/2010 | LAGUNA HILLS, CA | |
B | 05/22/2000 - 08/06/2010 | LAGUNA HILLS, CA | |
B | 01/02/1998 - 05/31/2000 | ST. CLOUD, MN | |
B | 01/31/1996 - 12/31/1997 | LINCOLN, NE | |
B | 07/05/1995 - 01/31/1996 | PORTLAND, OR | |
B | 06/26/1992 - 06/26/1995 | APPLETON, WI |
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.