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Rosanna F Bragdon
ROSANNA FAYE BRAGDON, ROSANNA FAYE GANJE, ROSANNA FAYE MCEACHIN, ROSANNA FAYE SUMNER
CRD#: 4817288
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 303 PEARL PARKWAY
SUITE 380
SAN ANTONIO, TX 78215-1285
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2008 - 2016 (8 years)2 FIRMS2018 - 2018 (<1 year)2 FIRMS2020 - 2021 (<1 year)2 FIRMS2023 - 2024 (<1 year)2 FIRMS2024 - Present (<1 year)BASIA PACIFIC FINANCIAL MANAGEM... (CRD# 32338)2017 - 2017 (<1 year)BA. G. EDWARDS & SONS, INC. (CRD# 4)2004 - 2008 (3 years)IAA. G. EDWARDS & SONS, INC. (CRD# 4)2007 - 2008 (<1 year)
License(s)

State Registrations

B
Alabama 4/29/2024

B
Nevada 4/29/2024

B
Arizona 5/9/2024

B
New Mexico 4/30/2024

B
California 4/29/2024

B
New York 4/29/2024

B
Colorado 4/30/2024

B
North Carolina 5/1/2024

B
Delaware 5/15/2024

B
Ohio 4/29/2024

B
District of Columbia 4/30/2024

B
Oklahoma 4/29/2024

B
Florida 4/30/2024

B
Oregon 4/30/2024

B
Georgia 5/1/2024

B
Pennsylvania 4/30/2024

B
Hawaii 4/30/2024

B
South Carolina 4/29/2024

B
Idaho 5/1/2024

B
Tennessee 4/30/2024

B
Louisiana 10/10/2024

IA
Texas 3/15/2024

B
Maryland 5/2/2024

B
Texas 3/18/2024

B
Massachusetts 4/29/2024

B
Vermont 4/29/2024

B
Michigan 5/1/2024

B
Virginia 4/29/2024

B
Minnesota 11/26/2024

B
Washington 4/29/2024

B
Mississippi 5/2/2024

B
Wisconsin 5/2/2024

B
Nebraska 10/8/2024

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)
303 PEARL PARKWAY SUITE 380, SAN ANTONIO, TX 78215-1285
Registered with this firm since 3/15/2024

B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
303 PEARL PARKWAY SUITE 380, SAN ANTONIO, TX 78215-1285
Registered with this firm since 3/15/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
11/13/2023 - 03/08/2024 MORGAN STANLEY (CRD#:149777) San Antonio, TX
B
07/03/2023 - 03/08/2024 MORGAN STANLEY (CRD#:149777) San Antonio, TX
IA
06/10/2020 - 02/25/2021 CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139) Alamogordo, NM
B
06/15/2020 - 02/25/2021 CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543) Alamogordo, NM
IA
06/19/2018 - 08/08/2018 FIRST COMMAND ADVISORY SERVICES (CRD#:281958) Hagatna
B
06/18/2018 - 08/08/2018 FIRST COMMAND FINANCIAL PLANNING, INC. (CRD#:3641) HAGATNA
B
04/18/2017 - 06/08/2017 ASIA PACIFIC FINANCIAL MANAGEMENT GROUP, INC. (CRD#:32338) HAGATNA
IA
01/01/2008 - 11/07/2016 WELLS FARGO ADVISORS, LLC (CRD#:19616) PENSACOLA, FL
B
01/01/2008 - 11/07/2016 WELLS FARGO ADVISORS, LLC (CRD#:19616) PENSACOLA, FL
B
07/13/2004 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) PANAMA CITY, FL
IA
07/24/2007 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) PANAMA CITY, FL
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Broker
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Investment Adviser
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.