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CONNIE LEA SHERRILL
CONNIE LEA SHERILL, CONNIE LEA WISEMAN, CONNIE LEA YORK-WISEMAN, CONNIE LEA YORKWISEMAN
CRD#: 2755544
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 100 CRESCENT COURT
SUITE 1500
DALLAS, TX 75201-1871
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2006 - 2006 (<1 year)2 FIRMS2024 - Present (<1 year)BCAPITAL INSTITUTIONAL SERVICES... (CRD# 7551)2005 - 2005 (<1 year)BFULCRUM GLOBAL PARTNERS LLC (CRD# 104455)2004 - 2004 (<1 year)BCAPITAL INSTITUTIONAL SERVICES... (CRD# 7551)1997 - 2004 (6 years)BFIRST FUND DISTRIBUTORS, INC. (CRD# 27038)1996 - 1997 (1 year)IASNOWFLAKE CAPITAL (CRD# 132297)2004 - 2005 (<1 year)
License(s)

State Registrations

B
California 10/16/2024

B
Iowa 11/22/2024

B
Colorado 10/16/2024

B
Texas 10/11/2024

B
Florida 10/16/2024

IA
Texas 10/11/2024

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

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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)
100 CRESCENT COURT SUITE 1500, DALLAS, TX 75201-1871
Registered with this firm since 10/11/2024

B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
100 CRESCENT COURT SUITE 1500, DALLAS, TX 75201-1871
Registered with this firm since 8/2/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/26/2006 - 11/13/2006 RBC DAIN RAUSCHER INC. (CRD#:31194) DALLAS, TX
B
04/26/2006 - 11/13/2006 RBC DAIN RAUSCHER INC. (CRD#:31194) DALLAS, TX
B
03/02/2005 - 11/10/2005 CAPITAL INSTITUTIONAL SERVICES, INC. (CRD#:7551) DALLAS, TX
IA
09/16/2004 - 01/25/2005 SNOWFLAKE CAPITAL (CRD#:132297) DALLAS, TX
B
01/29/2004 - 05/28/2004 FULCRUM GLOBAL PARTNERS LLC (CRD#:104455) NEW YORK, NY
B
06/16/1997 - 02/04/2004 CAPITAL INSTITUTIONAL SERVICES, INC. (CRD#:7551) DALLAS, TX
B
06/20/1996 - 06/16/1997 FIRST FUND DISTRIBUTORS, INC. (CRD#:27038) PHOENIX, AZ
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B
Broker
IA
Investment Adviser
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.