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Detailed Report
ERIC ARTHUR ENGLUND
ERIC ENGLUND
CRD#: 5181206
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 300B Drakes Landing Road
STE 155
Greenbrae, CA 94904
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - Present (18 years)
License(s)

State Registrations

B
Alabama 3/5/2015
B
Nevada 9/18/2009
B
Alaska 8/24/2009
B
New Hampshire 3/5/2015
B
Arizona 3/16/2011
B
New Jersey 4/17/2008
B
Arkansas 3/5/2015
B
New Mexico 3/5/2015
B
California 10/19/2006
B
New York 10/19/2006
IA
California 5/11/2016
B
North Carolina 1/10/2008
B
Colorado 3/18/2008
B
North Dakota 3/5/2015
B
Connecticut 3/5/2015
B
Ohio 3/27/2007
B
Delaware 3/5/2015
B
Oklahoma 3/5/2015
B
District of Columbia 2/3/2014
B
Oregon 12/21/2007
B
Florida 11/21/2007
B
Pennsylvania 3/5/2015
B
Georgia 4/1/2010
B
Puerto Rico 11/29/2011
B
Hawaii 3/5/2015
B
Rhode Island 3/5/2015
B
Idaho 11/7/2008
B
South Carolina 11/10/2009
B
Illinois 1/23/2008
B
South Dakota 3/5/2015
B
Indiana 3/5/2015
B
Tennessee 11/26/2019
B
Iowa 3/5/2015
B
Texas 11/30/2007
B
Kansas 3/5/2015
IA
Texas 3/6/2015
B
Kentucky 3/5/2015
B
Utah 12/9/2009
B
Louisiana 8/16/2011
B
Vermont 3/5/2015
B
Maine 3/5/2015
B
Virgin Islands 3/10/2015
B
Maryland 5/30/2008
IA
Virgin Islands 3/16/2015
B
Massachusetts 1/14/2008
B
Virginia 12/11/2007
B
Michigan 3/5/2015
B
Washington 8/24/2006
B
Minnesota 11/4/2008
IA
Washington 8/24/2006
B
Mississippi 3/5/2015
B
West Virginia 3/5/2015
B
Missouri 8/12/2008
B
Wisconsin 6/15/2009
B
Montana 3/5/2015
B
Wyoming 3/5/2015
B
Nebraska 4/13/2012

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)
300B Drakes Landing Road STE 155, Greenbrae, CA 94904
Greenbrae, CA
Registered with this firm since 8/24/2006
B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
300B Drakes Landing Road STE 155, Greenbrae, CA 94904
Greenbrae, CA
Registered with this firm since 8/10/2006
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.