Individual Firm
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BRIAN AMSTER
CRD#: 4642943
IA
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RBC CAPITAL MARKETS, LLCCRD#: 31194 5355 TOWN CENTER ROAD
SUITE 800
BOCA RATON, FL 33486
SUITE 800
BOCA RATON, FL 33486
View By:
6/11/2008
Customer Dispute
Denied
State Registrations
B
Alabama 1/14/2022
B
New Mexico 1/14/2022
B
Arizona 1/14/2022
B
New York 1/14/2022
B
California 1/14/2022
B
North Carolina 1/14/2022
B
Colorado 1/14/2022
B
Ohio 1/14/2022
B
Connecticut 1/14/2022
B
Oregon 1/14/2022
B
District of Columbia 1/14/2022
B
Pennsylvania 1/14/2022
B
Florida 1/14/2022
B
Puerto Rico 1/14/2022
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Florida 1/18/2022
B
Rhode Island 8/25/2022
B
Georgia 1/14/2022
B
South Carolina 1/14/2022
B
Illinois 1/26/2022
B
Tennessee 1/14/2022
B
Maine 1/18/2022
B
Texas 1/14/2022
B
Maryland 1/14/2022
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Texas 1/14/2022
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Massachusetts 1/18/2022
B
Utah 1/14/2022
B
Michigan 1/14/2022
B
Vermont 1/14/2022
B
Missouri 1/14/2022
B
Virginia 1/14/2022
B
Nevada 1/14/2022
B
Washington 1/14/2022
B
New Hampshire 6/21/2024
B
Wisconsin 1/14/2022
B
New Jersey 1/14/2022
B
Wyoming 1/14/2022
SRO Registrations
B
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 1/14/2022
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Registered with this firm since 1/14/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/17/2021 - 01/21/2022 | ATLANTA, GA | |
B | 02/17/2021 - 01/21/2022 | Palm Beach, FL | |
IA | 07/20/2016 - 02/17/2021 | RICHMOND, VA | |
B | 07/15/2016 - 02/17/2021 | RICHMOND, VA | |
IA | 05/23/2008 - 08/10/2016 | SAN JUAN, PR | |
B | 06/29/2015 - 08/10/2016 | SAN JUAN, PR | |
B | 05/23/2008 - 08/10/2016 | SAN JUAN, PR | |
IA | 04/02/2007 - 05/16/2008 | BOCA RATON, FL | |
B | 04/02/2007 - 05/16/2008 | BOCA RATON, FL | |
IA | 05/13/2003 - 04/02/2007 | BOCA RATON, FL | |
B | 04/28/2003 - 04/02/2007 | BOCA RATON, FL |
SAN JUAN, PR
06/29/2015 - 08/10/2016
For additional information about investment advisers or broker-dealers, please visit
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.
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