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BRIAN LEE ANDERSON
BRIAN ANDERSON
CRD#: 5406726
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 750 TOWN AND COUNTRY BLVD
SUITE 325
HOUSTON, TX 77024-4576
Registration History
20082010201220142016201820202022202420262 FIRMS2012 - 2014 (1 year)2 FIRMS2014 - 2017 (2 years)2 FIRMS2017 - 2023 (6 years)2 FIRMS2023 - Present (1 year)BNEW ENGLAND SECURITIES (CRD# 615)2007 - 2012 (4 years)IANEW ENGLAND SECURITIES CORPORATION (CRD# 615)2008 - 2012 (4 years)
License(s)

State Registrations

B
Alabama 8/23/2023

B
Georgia 8/23/2023

B
Arizona 8/23/2023

B
Ohio 8/23/2023

B
Arkansas 8/23/2023

B
South Dakota 8/23/2023

B
California 8/23/2023

B
Texas 8/23/2023

B
Colorado 8/23/2023

IA
Texas 8/23/2023

B
Florida 8/23/2023

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)
750 TOWN AND COUNTRY BLVD SUITE 325, HOUSTON, TX 77024-4576
Fulshear, TX
Registered with this firm since 8/23/2023

B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
750 TOWN AND COUNTRY BLVD SUITE 325, HOUSTON, TX 77024-4576
Fulshear, TX
Registered with this firm since 8/23/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
02/08/2017 - 09/06/2023 RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018) SUGAR LAND, TX
B
01/19/2017 - 09/06/2023 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) SUGAR LAND, TX
IA
06/10/2014 - 01/19/2017 SPC (CRD#:110692) HOUSTON, TX
B
06/10/2014 - 01/19/2017 SIGMA FINANCIAL CORPORATION (CRD#:14303) Houston, TX
IA
07/03/2012 - 06/12/2014 LPL FINANCIAL LLC (CRD#:6413) HOUSTON, TX
B
07/03/2012 - 06/12/2014 LPL FINANCIAL LLC (CRD#:6413) HOUSTON, TX
IA
06/12/2008 - 06/22/2012 NEW ENGLAND SECURITIES CORPORATION (CRD#:615) HOUSTON, TX
B
09/03/2007 - 06/22/2012 NEW ENGLAND SECURITIES (CRD#:615) HOUSTON, TX
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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.