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Detailed Report
JOANNE LOUISE FABEC
JOANNE LOUISE KEENAN
CRD#: 4965853
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 1819 Main Street
Suite 1100
Sarasota, FL 34236-5999
Registration History
20142015201620172018201920202021202220232024202520262 FIRMS2014 - 2015 (1 year)2 FIRMS2015 - Present (10 years)BSIGMA FINANCIAL CORPORATION (CRD# 14303)2014 - 2014 (<1 year)
License(s)

State Registrations

B
California 6/6/2016
B
Nevada 2/2/2018
B
Colorado 1/10/2024
B
New Hampshire 4/15/2016
B
Florida 2/26/2015
B
New Jersey 9/14/2022
IA
Florida 3/23/2015
B
New Mexico 1/21/2025
B
Georgia 1/28/2022
B
New York 6/6/2016
B
Hawaii 6/2/2020
B
North Carolina 6/6/2016
B
Illinois 4/5/2024
B
Ohio 3/10/2022
B
Indiana 8/1/2019
B
Oklahoma 2/10/2023
B
Maine 7/27/2022
B
Texas 2/26/2015
B
Maryland 6/7/2023
IA
Texas 2/26/2015
B
Michigan 6/20/2019
B
Virginia 9/27/2021

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)
1819 Main Street Suite 1100, Sarasota, FL 34236-5999
SARASOTA, FL
Registered with this firm since 2/26/2015
B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
1819 Main Street Suite 1100, Sarasota, FL 34236-5999
SARASOTA, FL
Registered with this firm since 2/26/2015
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/25/2014 - 03/11/2015 MORGAN STANLEY (CRD#:149777) SARASOTA, FL
B
 02/14/2014 - 03/11/2015 MORGAN STANLEY (CRD#:149777) SARASOTA, FL
B
 01/06/2014 - 02/17/2014 SIGMA FINANCIAL CORPORATION (CRD#:14303) SARASOTA, FL
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.