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Detailed Report
CAROL BRUNDIECK
CAROL JEAN BRUNDIECK, CAROL JEAN SCHILTZ
CRD#: 2980713
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 7650 EDINBOROUGH WAY
SUITE 800
EDINA, MN 55435-5982
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2018 - 2018 (<1 year)2 FIRMS2018 - 2020 (1 year)2 FIRMS2020 - Present (5 years)BMORGAN STANLEY (CRD# 149777)2011 - 2018 (7 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2006 - 2011 (4 years)BPIPER JAFFRAY & CO. (CRD# 665)2002 - 2006 (4 years)BRBC DAIN RAUSCHER INC. (CRD# 31194)2002 - 2002 (<1 year)BRBC DAIN RAUSCHER INC. (CRD# 31194)2000 - 2001 (1 year)BDOUGHERTY & COMPANY LLC (CRD# 7477)1999 - 2000 (<1 year)IAMORGAN STANLEY (CRD# 149777)2012 - 2018 (5 years)
License(s)

State Registrations

B
California 1/29/2020
B
New Jersey 1/29/2020
B
Colorado 1/29/2020
B
New Mexico 1/29/2020
B
Connecticut 1/29/2020
B
New York 1/29/2020
B
Florida 1/29/2020
B
North Carolina 1/29/2020
B
Hawaii 1/29/2020
B
North Dakota 1/29/2020
B
Indiana 1/15/2021
B
Ohio 1/29/2020
B
Maryland 1/29/2020
B
Pennsylvania 1/15/2021
B
Minnesota 1/28/2020
B
Texas 1/29/2020
IA
Minnesota 1/28/2020
IA
Texas 1/29/2020
B
Montana 1/29/2020
B
Virginia 1/29/2020
B
Nebraska 1/29/2020

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)
7650 EDINBOROUGH WAY SUITE 800, EDINA, MN 55435-5982
SOUTH SAINT PAUL, MN
Registered with this firm since 1/28/2020
B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
7650 EDINBOROUGH WAY SUITE 800, EDINA, MN 55435-5982
SOUTH SAINT PAUL, MN
Registered with this firm since 1/28/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/04/2018 - 01/27/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BLOOMINGTON, MN
B
 09/04/2018 - 01/27/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BLOOMINGTON, MN
IA
 06/04/2018 - 08/28/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) BLOOMINGTON, MN
B
 06/04/2018 - 08/28/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) BLOOMINGTON, MN
IA
 11/28/2012 - 04/16/2018 MORGAN STANLEY (CRD#:149777) BLOOMINGTON, MN
B
 03/04/2011 - 04/16/2018 MORGAN STANLEY (CRD#:149777) BLOOMINGTON, MN
B
 08/12/2006 - 03/15/2011 UBS FINANCIAL SERVICES INC. (CRD#:8174) EDINA, MN
B
 04/12/2002 - 08/12/2006 PIPER JAFFRAY & CO. (CRD#:665) EDINA, MN
B
 01/14/2002 - 04/19/2002 RBC DAIN RAUSCHER INC. (CRD#:31194) NEW YORK, NY
B
 10/11/2000 - 11/29/2001 RBC DAIN RAUSCHER INC. (CRD#:31194) NEW YORK, NY
B
 11/04/1999 - 10/06/2000 DOUGHERTY & COMPANY LLC (CRD#:7477) MINNEAPOLIS, MN
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.