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Detailed Report
HELEN L ABE
HELEN LOUIE, helen louie abe
CRD#: 2222281
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 300B Drakes Landing Road
STE 155
Greenbrae, CA 94904
Registration History
19952000200520102015202020252 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - 2020 (10 years)2 FIRMS2020 - Present (5 years)BMORGAN STANLEY DW INC. (CRD# 7556)1992 - 2007 (15 years)IAMORGAN STANLEY (CRD# 7556)1997 - 2007 (9 years)
Disclosure(s)
View By:
8/8/2012
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 1/4/2024
B
Massachusetts 1/8/2025
B
California 3/3/2020
B
Minnesota 3/3/2020
IA
California 3/3/2020
B
Missouri 1/8/2025
B
Colorado 1/8/2025
B
Montana 3/3/2020
B
Delaware 4/24/2023
B
Nevada 6/29/2020
B
District of Columbia 7/2/2020
B
New Mexico 3/31/2020
B
Florida 8/9/2022
B
New York 1/4/2024
B
Hawaii 4/13/2020
B
Oregon 3/3/2020
B
Idaho 4/22/2024
B
Pennsylvania 1/4/2024
B
Illinois 3/2/2023
B
Tennessee 9/10/2024
B
Maine 1/4/2024
B
Texas 1/8/2025
B
Maryland 3/3/2020
IA
Texas 1/10/2025

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)
300B Drakes Landing Road STE 155, Greenbrae, CA 94904
Larkspur, CA
Registered with this firm since 3/3/2020
B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
300B Drakes Landing Road STE 155, Greenbrae, CA 94904
Larkspur, CA
Registered with this firm since 3/3/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/27/2009 - 03/04/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MILL VALLEY, CA
B
 10/23/2009 - 03/04/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MILL VALLEY, CA
IA
 06/01/2009 - 10/26/2009 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) SAN RAFAEL, CA
B
 06/01/2009 - 10/26/2009 MORGAN STANLEY SMITH BARNEY (CRD#:149777) SAN RAFAEL, CA
IA
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SAN RAFAEL, CA
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SAN RAFAEL, CA
IA
 07/08/1997 - 04/02/2007 MORGAN STANLEY (CRD#:7556) SAN RAFAEL, CA
B
 04/24/1992 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) SAN RAFAEL, CA
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.