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Detailed Report
DAVID Duane KASOWSKI
David D Kasowski, David Duane Kasowski
CRD#: 5414385
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 7650 EDINBOROUGH WAY
SUITE 800
EDINA, MN 55435-5982
Registration History
201920202021202220232024202520262 FIRMS2023 - Present (2 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2021 - 2021 (<1 year)BROBERT W. BAIRD & CO. INCORPORATED (CRD# 8158)2019 - 2021 (1 year)IAROBERT W. BAIRD & CO. INCORPORATED (CRD# 8158)2020 - 2021 (1 year)
License(s)

State Registrations

B
Arizona 2/9/2023
IA
Minnesota 12/5/2023
IA
Arizona 2/9/2023
B
Missouri 1/3/2024
B
Arkansas 1/3/2024
B
Montana 1/3/2024
B
California 1/3/2024
B
Nevada 1/3/2024
B
Colorado 1/3/2024
B
New York 1/3/2024
B
District of Columbia 1/3/2024
B
North Carolina 1/3/2024
B
Florida 1/3/2024
B
North Dakota 1/3/2024
B
Georgia 1/3/2024
B
Ohio 1/3/2024
B
Idaho 1/3/2024
B
Oregon 1/3/2024
B
Illinois 1/3/2024
B
Pennsylvania 1/3/2024
B
Indiana 1/3/2024
B
South Dakota 1/3/2024
B
Maryland 1/3/2024
B
Texas 1/3/2024
B
Massachusetts 1/3/2024
IA
Texas 1/3/2024
B
Michigan 1/3/2024
B
Washington 1/3/2024
B
Minnesota 12/5/2023
B
Wisconsin 1/2/2024

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)
7650 EDINBOROUGH WAY SUITE 800, EDINA, MN 55435-5982
Minnetonka, MN
Registered with this firm since 2/9/2023
B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
7650 EDINBOROUGH WAY SUITE 800, EDINA, MN 55435-5982
Minnetonka, MN
Registered with this firm since 2/6/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 08/24/2021 - 12/14/2021 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) SALT LAKE CITY, UT
IA
 01/07/2020 - 04/18/2021 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) Seattle, WA
B
 07/08/2019 - 04/18/2021 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) Seattle, WA
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.