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Detailed Report
LAWRENCE CHARLES DENNY
CRD#: 2424690
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 2064 SUPERIOR DR. NW
ROCHESTER, MN 55901-5024
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2003 - 2011 (7 years)2 FIRMS2011 - 2022 (11 years)2 FIRMS2022 - Present (3 years)BLEGG MASON WOOD WALKER, INCORP... (CRD# 6555)1996 - 2003 (6 years)IALEGG MASON WOOD WALKER INC (CRD# 6555)1997 - 2003 (5 years)
License(s)

State Registrations

B
Arizona 3/17/2022
IA
Minnesota 3/24/2022
B
Florida 3/17/2022
B
New Jersey 3/17/2022
B
Georgia 3/17/2022
B
Texas 3/17/2022
B
Maryland 3/17/2022
IA
Texas 3/17/2022
B
Minnesota 3/24/2022
B
West Virginia 3/17/2022

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)
2064 SUPERIOR DR. NW, ROCHESTER, MN 55901-5024
ELKO NEW MARKET, MN
Registered with this firm since 3/17/2022
B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
2064 SUPERIOR DR. NW, ROCHESTER, MN 55901-5024
ELKO NEW MARKET, MN
Registered with this firm since 3/17/2022
Previous Registration(s)
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IA
 01/03/2011 - 03/23/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) FARIBAULT, MN
B
 01/03/2011 - 03/23/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) FARIBAULT, MN
IA
 03/12/2003 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) FARIBAULT, MN
B
 03/12/2003 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) FARIBAULT, MN
IA
 07/23/1997 - 03/19/2003 LEGG MASON WOOD WALKER INC (CRD#:6555) GAITHERSBURG, MD
B
 05/24/1996 - 03/19/2003 LEGG MASON WOOD WALKER, INCORPORATED (CRD#:6555) BALTIMORE, MD
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.