Individual Firm
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Patrick M Cummings
CRD#: 4858761
IA
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RBC CAPITAL MARKETS, LLCCRD#: 31194 805 SW BROADWAY
SUITE 1800
PORTLAND, OR 97205
SUITE 1800
PORTLAND, OR 97205
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Disclosures
20
Years of Experience
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State Registrations
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Alaska 9/17/2021
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New Hampshire 9/17/2021
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Arizona 9/17/2021
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New Jersey 9/17/2021
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California 9/17/2021
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New Mexico 9/17/2021
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Colorado 9/17/2021
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New York 9/17/2021
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Connecticut 9/17/2021
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Ohio 9/17/2021
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Delaware 4/24/2023
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Oklahoma 9/17/2021
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District of Columbia 9/17/2021
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Oregon 9/17/2021
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Florida 9/17/2021
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Oregon 9/17/2021
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Georgia 9/17/2021
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Pennsylvania 12/20/2024
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Idaho 9/17/2021
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Rhode Island 9/17/2021
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Illinois 9/17/2021
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South Carolina 8/25/2023
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Indiana 9/17/2021
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South Dakota 9/17/2021
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Kansas 9/17/2021
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Tennessee 9/17/2021
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Maryland 9/17/2021
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Texas 9/17/2021
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Massachusetts 9/17/2021
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Texas 9/17/2021
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Michigan 1/25/2024
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Utah 2/15/2022
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Minnesota 9/17/2021
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Virginia 9/17/2021
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Missouri 9/17/2021
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Washington 9/17/2021
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Montana 9/17/2021
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Wyoming 9/17/2021
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Nevada 9/17/2021
SRO Registrations
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Registered with this firm since 9/17/2021
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Registered with this firm since 9/17/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/21/2005 - 09/21/2021 | PORTLAND, OR | |
B | 12/10/2004 - 09/21/2021 | PORTLAND, OR |
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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.