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Detailed Report
THOMAS MICHAEL NOVOTNY
CRD#: 2230704
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 8800 Firethorn Lane
Suite 200
LINCOLN, NE 68520
Registration History
1995200020052010201520202025IARBC CAPITAL MARKETS, LLC (CRD# 31194)2011 - Present (13 years)BRBC CAPITAL MARKETS, LLC (CRD# 31194)2010 - Present (14 years)BPIPER JAFFRAY & CO. (CRD# 665)2002 - 2010 (8 years)BU.S. BANCORP INVESTMENTS, INC. (CRD# 17868)1996 - 2003 (7 years)BFIRSTIER SECURITIES, INC. (CRD# 17714)1992 - 1996 (3 years)
License(s)

State Registrations

B
Alaska 11/28/2023
B
Nevada 7/8/2010
B
Arizona 7/8/2010
B
New York 7/8/2010
B
California 7/8/2010
B
North Carolina 11/20/2020
B
Colorado 7/8/2010
B
Ohio 7/8/2010
B
District of Columbia 7/8/2010
B
Oregon 1/4/2017
B
Florida 7/8/2010
B
South Carolina 6/16/2021
B
Iowa 7/8/2010
B
South Dakota 7/8/2010
B
Kansas 7/8/2010
B
Tennessee 1/3/2022
B
Maryland 6/17/2019
B
Texas 7/8/2010
B
Minnesota 7/8/2010
IA
Texas 3/30/2017
B
Missouri 7/8/2010
B
Washington 1/5/2023
B
Nebraska 7/8/2010
B
Wyoming 7/8/2010
IA
Nebraska 5/17/2011

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 5/17/2011
B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
8800 Firethorn Lane Suite 200, LINCOLN, NE 68520
Lincoln, NE
Registered with this firm since 7/8/2010
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 06/13/2002 - 07/08/2010 PIPER JAFFRAY & CO. (CRD#:665) LINCOLN, NE
B
 02/16/1996 - 04/15/2003 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) SAINT PAUL, MN
B
 04/20/1992 - 03/22/1996 FIRSTIER SECURITIES, INC. (CRD#:17714)
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.