Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
LAURA N MOULIN
LAURA NICOLE CUNNINGHAM, LAURA NICOLE MOULIN, LAURA MOULIN
CRD#: 4896043
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 10801 W. Charleston Blvd.
Suite 650
Las Vegas, NV 89135
Registration History
200620082010201220142016201820202022202420262 FIRMS2017 - Present (7 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2008 - 2017 (9 years)BBUTLER, WICK & CO., INC. (CRD# 120)2006 - 2007 (1 year)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2009 - 2017 (7 years)
License(s)

State Registrations

B
Alabama 8/31/2017
B
Nebraska 11/14/2022
B
Alaska 11/14/2022
B
Nevada 8/31/2017
B
Arizona 8/31/2017
IA
Nevada 9/14/2017
B
Arkansas 11/14/2022
B
New Hampshire 11/14/2022
B
California 8/31/2017
B
New Jersey 11/14/2022
B
Colorado 8/31/2017
B
New Mexico 11/14/2022
B
Connecticut 11/14/2022
B
New York 8/31/2017
B
Delaware 1/2/2018
B
North Carolina 8/31/2017
B
District of Columbia 11/14/2022
B
North Dakota 11/14/2022
B
Florida 8/31/2017
B
Ohio 11/14/2022
B
Georgia 11/14/2022
B
Oregon 11/14/2022
B
Hawaii 8/31/2017
B
Pennsylvania 11/14/2022
B
Idaho 11/14/2022
B
Puerto Rico 11/14/2022
B
Illinois 8/31/2017
B
Rhode Island 8/31/2017
B
Indiana 8/31/2017
B
South Carolina 11/14/2022
B
Iowa 11/14/2022
B
South Dakota 8/31/2017
B
Kansas 11/14/2022
B
Tennessee 11/14/2022
B
Kentucky 11/14/2022
B
Texas 8/31/2017
B
Louisiana 11/14/2022
IA
Texas 8/31/2017
B
Maine 11/14/2022
B
Utah 11/14/2022
B
Maryland 11/14/2022
B
Vermont 11/14/2022
B
Massachusetts 8/31/2017
B
Virgin Islands 11/14/2022
B
Michigan 8/31/2017
B
Virginia 8/31/2017
B
Minnesota 11/14/2022
B
Washington 8/31/2017
B
Mississippi 11/14/2022
B
West Virginia 11/14/2022
B
Missouri 8/31/2017
B
Wisconsin 11/14/2022
B
Montana 11/14/2022
B
Wyoming 5/27/2020

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)
10801 W. Charleston Blvd. Suite 650, Las Vegas, NV 89135
Las Vegas, NV
Registered with this firm since 8/31/2017
B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
10801 W. Charleston Blvd. Suite 650, Las Vegas, NV 89135
Las Vegas, NV
Registered with this firm since 8/31/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/11/2009 - 09/05/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LAS VEGAS, NV
B
 01/14/2008 - 09/05/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LAS VEGAS, NV
B
 06/13/2006 - 12/11/2007 BUTLER, WICK & CO., INC. (CRD#:120) CANTON, OH
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.