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MONICA VILLA
MONICA PINEDA
CRD#: 4363679
IA
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RBC CAPITAL MARKETS, LLCCRD#: 31194 6301 UPTOWN BLVD NE
SUITE 100
ALBUQUERQUE, NM 87110-4132
SUITE 100
ALBUQUERQUE, NM 87110-4132
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Disclosures
9
Years of Experience
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State Registrations
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Alabama 1/12/2023
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Nebraska 1/12/2023
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Alaska 1/12/2023
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Nevada 1/12/2023
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Arizona 1/12/2023
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New Hampshire 1/12/2023
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Arkansas 1/12/2023
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New Jersey 1/12/2023
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California 1/12/2023
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New Mexico 8/7/2021
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Colorado 1/12/2023
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New Mexico 8/9/2021
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Connecticut 1/12/2023
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New York 1/12/2023
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Delaware 1/12/2023
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North Carolina 1/12/2023
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District of Columbia 1/12/2023
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North Dakota 1/12/2023
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Florida 1/12/2023
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Ohio 1/12/2023
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Georgia 1/12/2023
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Oklahoma 1/12/2023
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Hawaii 1/12/2023
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Oregon 1/12/2023
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Idaho 1/12/2023
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Pennsylvania 1/12/2023
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Illinois 1/12/2023
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Puerto Rico 1/12/2023
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Indiana 1/12/2023
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Rhode Island 1/12/2023
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Iowa 1/12/2023
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South Carolina 8/20/2021
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Kansas 1/12/2023
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Tennessee 1/12/2023
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Kentucky 1/12/2023
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Texas 1/12/2023
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Louisiana 1/12/2023
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Texas 1/12/2023
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Maine 1/12/2023
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Utah 1/12/2023
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Maryland 1/12/2023
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Vermont 1/12/2023
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Massachusetts 1/12/2023
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Virgin Islands 1/12/2023
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Michigan 1/12/2023
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Virginia 1/12/2023
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Minnesota 1/12/2023
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Washington 1/12/2023
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Mississippi 1/12/2023
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Wisconsin 1/12/2023
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Missouri 1/12/2023
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Wyoming 1/12/2023
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Montana 1/12/2023
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 8/9/2021
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Registered with this firm since 11/16/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/10/2013 - 04/21/2014 | ALBUQUERQUE, NM | |
B | 12/04/2009 - 01/12/2010 | ALBUQUERQUE, NM | |
IA | 03/29/2006 - 11/16/2007 | ALBUQUERQUE, NM | |
B | 03/27/2006 - 11/16/2007 | ALBUQUERQUE, NM | |
IA | 05/05/2004 - 03/16/2006 | ALBUQUERQUE, NM | |
B | 04/29/2004 - 03/16/2006 | BOSTON, MA | |
IA | 09/04/2003 - 04/20/2004 | ALBUQUERQUE, NM | |
B | 07/29/2003 - 04/20/2004 | PURCHASE, NY |
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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.
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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.