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LESLIE ANN LAUER
CRD#: 2941432
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 3550 Lenox Road
Suite 1950
Atlanta, GA 30326
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2023 (17 years)2 FIRMS2023 - Present (1 year)
Disclosure(s)
View By:
2/22/2024
Customer Dispute
Denied
1/5/2024
Customer Dispute
Pending
License(s)

State Registrations

B
Alabama 8/29/2023

B
Montana 8/18/2023

B
Alaska 8/18/2023

B
Nebraska 8/18/2023

B
Arizona 8/18/2023

B
Nevada 8/18/2023

B
Arkansas 11/7/2023

B
New Hampshire 8/18/2023

B
California 8/18/2023

B
New Jersey 8/18/2023

IA
California 8/8/2024

B
New Mexico 8/18/2023

B
Colorado 8/18/2023

B
New York 8/18/2023

B
Connecticut 8/18/2023

B
North Carolina 8/18/2023

B
Delaware 8/30/2023

B
North Dakota 8/18/2023

B
District of Columbia 8/18/2023

B
Ohio 8/18/2023

B
Florida 8/18/2023

IA
Ohio 8/29/2023

B
Georgia 8/18/2023

B
Oklahoma 8/18/2023

IA
Georgia 8/21/2023

B
Oregon 8/18/2023

B
Hawaii 10/27/2023

B
Pennsylvania 8/18/2023

B
Idaho 8/18/2023

B
Puerto Rico 8/18/2023

B
Illinois 8/18/2023

B
Rhode Island 8/18/2023

B
Indiana 8/18/2023

B
South Carolina 8/18/2023

B
Iowa 8/21/2023

B
Tennessee 9/1/2023

B
Kansas 8/18/2023

B
Texas 8/18/2023

B
Kentucky 8/18/2023

IA
Texas 8/18/2023

B
Louisiana 8/18/2023

B
Utah 8/18/2023

B
Maryland 8/18/2023

B
Vermont 8/18/2023

B
Massachusetts 8/18/2023

B
Virginia 8/18/2023

B
Michigan 8/18/2023

B
Washington 8/18/2023

IA
Michigan 8/6/2024

B
West Virginia 8/18/2023

B
Minnesota 8/31/2023

B
Wisconsin 8/18/2023

B
Mississippi 8/18/2023

B
Wyoming 1/27/2025

B
Missouri 8/18/2023

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)
3550 Lenox Road Suite 1950, Atlanta, GA 30326
Atlanta, GA
Registered with this firm since 8/18/2023

B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
3550 Lenox Road Suite 1950, Atlanta, GA 30326
Atlanta, GA
Registered with this firm since 8/18/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/02/2006 - 08/29/2023 UBS FINANCIAL SERVICES INC. (CRD#:8174) COLUMBUS, OH
B
02/08/2006 - 08/29/2023 UBS FINANCIAL SERVICES INC. (CRD#:8174) COLUMBUS, OH
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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.