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Detailed Report
TODD WAYNE HALBROOK
CRD#: 2554506
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 400 Spectrum Center Drive
Suite 200
Irvine, CA 92618
Registration History
19952000200520102015202020252 FIRMS2008 - 2018 (9 years)2 FIRMS2018 - 2023 (4 years)2 FIRMS2023 - Present (2 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1995 - 2008 (12 years)BSMITH BARNEY INC. (CRD# 7059)1995 - 1995 (<1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1997 - 2008 (11 years)
Disclosure(s)
View By:
10/20/2008
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 4/10/2023
B
Missouri 4/10/2023
B
Alaska 4/10/2023
B
Montana 4/10/2023
B
Arizona 4/10/2023
B
Nevada 4/10/2023
B
California 4/10/2023
B
New Hampshire 4/10/2023
IA
California 4/10/2023
B
New Mexico 4/10/2023
B
Colorado 4/10/2023
B
New York 4/10/2023
B
Connecticut 4/10/2023
B
North Carolina 4/10/2023
B
Delaware 4/10/2023
B
Ohio 4/10/2023
B
Florida 4/10/2023
B
Oregon 4/10/2023
B
Georgia 4/10/2023
B
Pennsylvania 4/10/2023
B
Hawaii 4/11/2023
B
South Carolina 4/10/2023
B
Idaho 4/10/2023
B
Tennessee 4/10/2023
B
Illinois 4/11/2023
B
Texas 4/10/2023
B
Indiana 4/10/2023
IA
Texas 4/10/2023
B
Iowa 11/16/2023
B
Utah 4/10/2023
B
Louisiana 5/9/2023
B
Vermont 1/5/2024
B
Maine 4/10/2023
B
Virginia 4/10/2023
B
Maryland 4/10/2023
B
Washington 4/10/2023
B
Massachusetts 4/11/2023
B
Wisconsin 4/10/2023
B
Michigan 4/10/2023
B
Wyoming 4/10/2023
B
Minnesota 9/26/2023

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)
400 Spectrum Center Drive Suite 200, Irvine, CA 92618
Irvine, CA
Registered with this firm since 4/10/2023
B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
400 Spectrum Center Drive Suite 200, Irvine, CA 92618
Irvine, CA
Registered with this firm since 4/10/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/01/2018 - 05/08/2023 FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. (CRD#:108559) Newport Beach, CA
B
 06/01/2018 - 05/08/2023 FIRST REPUBLIC SECURITIES COMPANY, LLC (CRD#:105108) NEWPORT BEACH, CA
IA
 07/11/2008 - 06/06/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) NEWPORT BEACH, CA
B
 07/11/2008 - 06/06/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) NEWPORT BEACH, CA
IA
 07/08/1997 - 07/24/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEWPORT BEACH, CA
B
 11/10/1995 - 07/24/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEWPORT BEACH, CA
B
 06/26/1995 - 08/22/1995 SMITH BARNEY INC. (CRD#:7059) NEW YORK, 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.