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Detailed Report
MICHAEL AARON MARSHALL
CRD#: 5286163
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 2465 Marina Circle
Suite 500
Green Bay, WI 54304
Registration History
20082010201220142016201820202022202420262 FIRMS2021 - Present (4 years)BASSOCIATED INVESTMENT SERVICES... (CRD# 1464)2007 - 2021 (14 years)IAASSOCIATED INVESTMENT SERVICES... (CRD# 1464)2012 - 2021 (8 years)
License(s)

State Registrations

B
Alabama 7/12/2024
B
Nebraska 2/2/2022
B
Arizona 2/2/2021
B
New York 2/2/2021
B
California 2/2/2021
B
North Carolina 9/12/2023
B
Colorado 2/2/2021
B
Oregon 9/21/2021
B
Delaware 3/27/2024
B
Tennessee 2/2/2024
B
Florida 2/2/2021
B
Texas 2/2/2021
B
Georgia 9/12/2023
IA
Texas 2/3/2021
B
Illinois 2/2/2021
B
Virginia 9/14/2021
B
Kentucky 9/22/2022
B
Wisconsin 2/1/2021
B
Michigan 2/2/2021
IA
Wisconsin 2/1/2021
B
Minnesota 2/2/2021

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)
2465 Marina Circle Suite 500, Green Bay, WI 54304
DE PERE, WI
Registered with this firm since 2/1/2021
B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
2465 Marina Circle Suite 500, Green Bay, WI 54304
DE PERE, WI
Registered with this firm since 2/1/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/14/2012 - 02/24/2021 ASSOCIATED INVESTMENT SERVICES, INC. (CRD#:1464) GREEN BAY, WI
B
 02/20/2007 - 02/24/2021 ASSOCIATED INVESTMENT SERVICES, INC. (CRD#:1464) GREEN BAY, WI
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.