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STEPHANIE KEI CHAK
CRD#: 5237743
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 111 S WACKER DRIVE
SUITE 3200
CHICAGO, IL 60606
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - 2013 (4 years)2 FIRMS2013 - 2014 (<1 year)2 FIRMS2015 - 2019 (3 years)2 FIRMS2025 - Present (<1 year)
License(s)

State Registrations

B
Illinois 1/9/2025

IA
Illinois 1/15/2025

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)
111 S WACKER DRIVE SUITE 3200, CHICAGO, IL 60606
Registered with this firm since 1/15/2025

B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
111 S WACKER DRIVE SUITE 3200, CHICAGO, IL 60606
Registered with this firm since 1/7/2025

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/01/2015 - 06/03/2019 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BETHESDA, MD
B
09/30/2015 - 06/03/2019 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BETHESDA, MD
IA
10/25/2013 - 04/02/2014 RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018) WASHINGTON, DC
B
09/20/2013 - 04/02/2014 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) WASHINGTON, DC
IA
06/01/2009 - 10/02/2013 MORGAN STANLEY (CRD#:149777) WASHINGTON, DC
B
06/01/2009 - 10/02/2013 MORGAN STANLEY (CRD#:149777) WASHINGTON, DC
IA
10/24/2007 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WASHINGTON, DC
B
07/17/2007 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WASHINGTON, DC
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B
Broker
IA
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.