Individual Firm
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ANNE MARIE WALSH
ANNE M LOFTIN, ANNE MARIE LOFTIN, ANNE MARIE LOFTIN - SANTIAGO, ANNE MARIE LOFTIN-SANTIAGO, ANNE L WALSH…
CRD#: 2586689
IA
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RBC CAPITAL MARKETS, LLCCRD#: 31194 5355 TOWN CENTER ROAD
SUITE 800
BOCA RATON, FL 33486
SUITE 800
BOCA RATON, FL 33486
View By:
5/31/1993
Criminal
Final Disposition
State Registrations
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Arkansas 4/29/2022
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Michigan 4/29/2022
B
California 4/29/2022
B
Minnesota 4/29/2022
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Colorado 5/9/2022
B
New Hampshire 4/29/2022
B
Connecticut 4/29/2022
B
New Jersey 4/29/2022
B
District of Columbia 4/29/2022
B
New Mexico 4/29/2022
B
Florida 5/6/2022
B
New York 4/29/2022
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Florida 5/6/2022
B
North Carolina 4/29/2022
B
Georgia 5/5/2022
B
Pennsylvania 4/29/2022
B
Illinois 5/17/2022
B
South Carolina 4/29/2022
B
Indiana 4/29/2022
B
Tennessee 4/29/2022
B
Iowa 4/29/2022
B
Texas 4/29/2022
B
Maryland 4/29/2022
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Texas 4/29/2022
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Massachusetts 4/29/2022
B
Virginia 5/3/2022
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 4/29/2022
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Registered with this firm since 4/29/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2009 - 05/02/2022 | Boca Raton, FL | |
B | 06/01/2009 - 05/02/2022 | Boca Raton, FL | |
IA | 12/05/2008 - 06/01/2009 | BOCA RATON, FL | |
B | 12/05/2008 - 06/01/2009 | BOCA RATON, FL | |
IA | 10/18/2007 - 10/30/2008 | BOCA RATON, FL | |
B | 12/18/1997 - 10/30/2008 | BOCA RATON, FL | |
IA | 01/15/1998 - 08/17/2007 | BOCA RATON, FL |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.