Individual Firm
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RICHARD THOMAS KOSTER JR.
CRD#: 4234630
IA
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RBC CAPITAL MARKETS, LLCCRD#: 31194 Charleston, SC
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Disclosures
24
Years of Experience
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State Registrations
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Arizona 2/27/2004
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New Mexico 2/27/2004
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Arkansas 2/27/2004
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North Carolina 2/27/2004
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California 2/27/2004
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Oklahoma 2/27/2004
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Colorado 2/27/2004
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South Carolina 2/27/2004
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Florida 2/27/2004
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South Carolina 1/24/2022
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Idaho 2/27/2004
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Tennessee 2/27/2004
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Louisiana 2/27/2004
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Vermont 2/27/2004
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Maine 2/27/2004
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Washington 2/27/2004
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Michigan 2/27/2004
SRO Registrations
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Learn about permitted activities of registered principals
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/11/2000 - 02/27/2004 | CHARLESTON, SC | |
B | 09/08/2000 - 02/27/2004 | ST. PETERSBURG, 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.
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.