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RICHARD SCOTT FRIEDMAN
CRD#: 2185955
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 750 TOWN AND COUNTRY BLVD
SUITE 325
HOUSTON, TX 77024-4576
Registration History
1995200020052010201520202025IARBC CAPITAL MARKETS, LLC (CRD# 31194)2002 - Present (22 years)BRBC CAPITAL MARKETS, LLC (CRD# 31194)1999 - Present (25 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1992 - 1999 (7 years)
Disclosure(s)
View By:
8/24/1999
Employment Separation After Allegations
7/26/1999
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 5/5/2004

B
New Jersey 6/14/2022

B
Arizona 6/22/2022

B
New Mexico 7/13/2021

B
Arkansas 12/20/2017

B
New York 11/16/2017

B
California 9/14/1999

B
North Carolina 2/7/2011

IA
California 3/6/2002

B
Ohio 2/3/2011

B
Colorado 1/4/2001

B
Oklahoma 9/5/2008

B
Delaware 6/27/2022

B
South Carolina 7/31/2017

B
Florida 2/8/2001

B
Tennessee 1/31/2018

B
Louisiana 9/14/1999

B
Texas 9/14/1999

IA
Louisiana 2/7/2006

IA
Texas 10/23/2002

B
Maryland 4/13/2004

B
Virginia 6/14/2022

B
Missouri 7/27/2016

B
Wyoming 9/4/2024

B
Nevada 4/13/2007

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)
750 TOWN AND COUNTRY BLVD SUITE 325, HOUSTON, TX 77024-4576
Katy, TX
Registered with this firm since 3/6/2002

B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
750 TOWN AND COUNTRY BLVD SUITE 325, HOUSTON, TX 77024-4576
Katy, TX
Registered with this firm since 9/14/1999

Previous Registration(s)
th hidden textth hidden textNameLocation
B
01/31/1992 - 09/22/1999 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) 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.