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Detailed Report
CARMEL ELEASE HARRELL
CARMEL ELEASE KERNER
CRD#: 2473685
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 1819 Main Street
Suite 1100
Sarasota, FL 34236-5999
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2005 - 2009 (4 years)2 FIRMS2009 - 2014 (5 years)2 FIRMS2014 - Present (10 years)BMORGAN STANLEY DW INC. (CRD# 7556)2001 - 2005 (3 years)IAMORGAN STANLEY (CRD# 7556)2002 - 2005 (2 years)
License(s)

State Registrations

B
Alabama 11/14/2014
B
Missouri 11/14/2014
B
Alaska 11/14/2014
B
Montana 11/14/2014
B
Arizona 11/14/2014
B
Nebraska 11/14/2014
B
Arkansas 11/14/2014
B
Nevada 11/14/2014
B
California 11/14/2014
B
New Hampshire 11/14/2014
B
Colorado 11/14/2014
B
New Jersey 11/14/2014
B
Connecticut 11/14/2014
B
New Mexico 11/14/2014
IA
Connecticut 11/14/2014
B
New York 11/14/2014
B
Delaware 11/14/2014
B
North Carolina 11/14/2014
B
District of Columbia 11/14/2014
B
North Dakota 11/14/2014
B
Florida 11/14/2014
B
Ohio 11/14/2014
IA
Florida 11/24/2014
B
Oklahoma 11/14/2014
B
Georgia 11/14/2014
B
Oregon 11/14/2014
B
Hawaii 11/14/2014
B
Pennsylvania 11/14/2014
B
Idaho 11/14/2014
B
Rhode Island 11/14/2014
B
Illinois 11/14/2014
B
South Carolina 11/14/2014
B
Indiana 11/14/2014
B
South Dakota 11/14/2014
B
Iowa 11/14/2014
B
Tennessee 11/14/2014
B
Kansas 11/14/2014
B
Texas 11/14/2014
B
Kentucky 11/14/2014
B
Utah 11/14/2014
B
Louisiana 11/14/2014
B
Vermont 11/14/2014
B
Maine 11/14/2014
B
Virginia 11/14/2014
B
Maryland 11/14/2014
B
Washington 11/14/2014
B
Massachusetts 11/14/2014
B
West Virginia 11/14/2014
B
Michigan 11/14/2014
B
Wisconsin 11/14/2014
B
Minnesota 11/14/2014
B
Wyoming 11/14/2014
B
Mississippi 11/14/2014

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)
1819 Main Street Suite 1100, Sarasota, FL 34236-5999
5355 TOWN CENTER ROAD SUITE 800, BOCA RATON, FL 33486
Registered with this firm since 11/14/2014
B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
1819 Main Street Suite 1100, Sarasota, FL 34236-5999
5355 TOWN CENTER ROAD SUITE 800, BOCA RATON, FL 33486
Registered with this firm since 11/14/2014
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/01/2009 - 12/03/2014 MORGAN STANLEY (CRD#:149777) SARASOTA, FL
B
 06/01/2009 - 12/03/2014 MORGAN STANLEY (CRD#:149777) SARASOTA, FL
IA
 04/26/2005 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SARASOTA, FL
B
 04/26/2005 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SARASOTA, FL
IA
 11/13/2002 - 04/19/2005 MORGAN STANLEY (CRD#:7556) NEW YORK, NY
B
 10/25/2001 - 04/19/2005 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
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.