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Detailed Report
KELLI M KRUSE
KELLI M MULLIGAN
CRD#: 4506115
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 8800 Firethorn Lane
Suite 200
LINCOLN, NE 68520
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2011 - 2021 (10 years)2 FIRMS2021 - Present (3 years)BWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2002 - 2011 (8 years)IAWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2003 - 2011 (7 years)
License(s)

State Registrations

B
Arizona 9/23/2021
B
Montana 9/23/2021
B
Arkansas 8/18/2022
B
Nebraska 9/23/2021
B
California 9/23/2021
IA
Nebraska 10/5/2021
B
Colorado 9/23/2021
B
New Mexico 11/1/2022
B
District of Columbia 9/23/2021
B
Oklahoma 9/23/2021
B
Florida 9/23/2021
B
Pennsylvania 9/23/2021
B
Georgia 9/23/2021
B
South Carolina 8/2/2024
B
Illinois 9/23/2021
B
South Dakota 11/21/2022
B
Iowa 9/23/2021
B
Texas 9/23/2021
B
Kansas 9/23/2021
IA
Texas 2/25/2025
B
Minnesota 9/23/2021
B
Virginia 9/23/2021
B
Mississippi 2/13/2023
B
Washington 9/23/2021
B
Missouri 9/23/2021
B
Wisconsin 9/23/2021

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)
8800 Firethorn Lane Suite 200, LINCOLN, NE 68520
Lincoln, NE
Registered with this firm since 10/5/2021
B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
8800 Firethorn Lane Suite 200, LINCOLN, NE 68520
Lincoln, NE
Registered with this firm since 9/23/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/03/2011 - 10/01/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) LINCOLN, NE
B
 01/03/2011 - 10/01/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) LINCOLN, NE
IA
 07/03/2003 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) LINCOLN, NE
B
 05/23/2002 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) LINCOLN, NE
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.