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ARIS GEORGE BOFILES
CRD#: 2964892
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 NEWPORT SQUARE BUILDING
10528 N. PORT WASHINGTON ROAD
MEQUON, WI 53092
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2006 - 2009 (2 years)2 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - 2015 (5 years)2 FIRMS2015 - 2021 (6 years)2 FIRMS2021 - Present (3 years)BPIPER JAFFRAY & CO. (CRD# 665)2000 - 2006 (5 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1997 - 2000 (2 years)IAPIPER JAFFRAY & CO. (CRD# 665)2004 - 2006 (2 years)
Disclosure(s)
View By:
3/20/2008
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 5/10/2023

B
New York 5/2/2023

B
California 6/17/2021

B
North Carolina 5/2/2023

B
Colorado 6/17/2021

B
Ohio 5/1/2023

B
Connecticut 8/28/2023

B
Oregon 5/1/2023

B
Florida 6/17/2021

B
Pennsylvania 5/2/2023

B
Georgia 5/3/2023

B
South Carolina 5/2/2023

B
Illinois 7/14/2021

B
Tennessee 5/2/2023

B
Kansas 5/1/2023

B
Texas 5/2/2023

B
Michigan 6/17/2021

IA
Texas 5/2/2023

B
Minnesota 5/2/2023

B
Virginia 5/3/2023

B
Missouri 6/17/2021

B
Washington 5/1/2023

B
Nebraska 7/9/2024

B
Wisconsin 6/17/2021

B
Nevada 5/5/2023

IA
Wisconsin 6/17/2021

B
New Mexico 5/2/2023

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)
NEWPORT SQUARE BUILDING 10528 N. PORT WASHINGTON ROAD, MEQUON, WI 53092
Oconomowoc, WI
Registered with this firm since 6/17/2021

B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
NEWPORT SQUARE BUILDING 10528 N. PORT WASHINGTON ROAD, MEQUON, WI 53092
Oconomowoc, WI
Registered with this firm since 6/17/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/13/2015 - 06/22/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) DELAFIELD, WI
B
03/13/2015 - 06/22/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) DELAFIELD, WI
IA
10/05/2009 - 03/16/2015 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) BROOKFIELD, WI
B
10/05/2009 - 03/16/2015 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) BROOKFIELD, WI
IA
07/10/2009 - 10/05/2009 AMERIPRISE ADVISOR SERVICES, INC. (CRD#:5979) MILWAUKEE, WI
B
07/02/2009 - 10/05/2009 AMERIPRISE ADVISOR SERVICES, INC. (CRD#:5979) MILWAUKEE, WI
IA
08/12/2006 - 07/22/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) MILWAUKEE, WI
B
08/12/2006 - 07/22/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) MILWAUKEE, WI
IA
04/23/2004 - 08/12/2006 PIPER JAFFRAY & CO. (CRD#:665) MILWAUKEE, WI
B
09/01/2000 - 08/12/2006 PIPER JAFFRAY & CO. (CRD#:665) MILWAUKEE, WI
B
11/28/1997 - 09/06/2000 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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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.