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SHAUN ALZATE
Shaun Olman Alzate
CRD#: 5350596
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 655 W. BROADWAY
STE 1000
SAN DIEGO, CA 92101-8485
Registration History
2018201920202021202220232024202520262 FIRMS2018 - 2018 (<1 year)2 FIRMS2019 - 2019 (<1 year)2 FIRMS2019 - 2021 (1 year)2 FIRMS2021 - Present (4 years)
License(s)

State Registrations

B
Arizona 2/22/2021

B
Missouri 2/22/2021

B
California 2/22/2021

B
Nebraska 2/22/2021

IA
California 2/23/2021

B
Nevada 2/22/2021

B
Colorado 2/22/2021

B
New Hampshire 2/22/2021

B
Connecticut 2/22/2021

B
New Jersey 2/22/2021

B
Delaware 12/15/2021

B
New York 2/22/2021

B
District of Columbia 2/22/2021

B
North Carolina 9/23/2024

B
Florida 2/22/2021

B
Ohio 2/23/2021

B
Georgia 2/22/2021

B
Oklahoma 2/22/2021

B
Hawaii 2/22/2021

B
Oregon 2/22/2021

B
Idaho 2/22/2021

B
Pennsylvania 2/22/2021

B
Illinois 4/13/2021

B
Tennessee 2/22/2021

B
Indiana 4/13/2021

B
Texas 2/22/2021

B
Iowa 2/22/2021

IA
Texas 2/22/2021

B
Louisiana 2/22/2021

B
Utah 2/22/2021

B
Maine 2/22/2021

B
Virginia 2/22/2021

B
Maryland 2/22/2021

B
Washington 2/22/2021

B
Michigan 12/10/2024

B
Wyoming 2/22/2021

B
Minnesota 2/22/2021

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)
655 W. BROADWAY STE 1000, SAN DIEGO, CA 92101-8485
Registered with this firm since 2/22/2021

B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
655 W. BROADWAY STE 1000, SAN DIEGO, CA 92101-8485
Registered with this firm since 2/22/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/08/2019 - 02/24/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SAN DIEGO, CA
B
08/08/2019 - 02/24/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SAN DIEGO, CA
IA
01/04/2019 - 07/17/2019 LPL FINANCIAL LLC (CRD#:6413) SAN DIEGO, CA
B
01/04/2019 - 07/17/2019 LPL FINANCIAL LLC (CRD#:6413) SAN DIEGO, CA
IA
07/03/2018 - 12/18/2018 WINTRUST INVESTMENTS (CRD#:875) CHICAGO, IL
B
05/08/2018 - 12/18/2018 WINTRUST INVESTMENTS LLC (CRD#:875) CHICAGO, IL
For additional information about investment advisers or broker-dealers, please visit
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.