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HEATHER LEIGH HARDEE
HEATHER HARDEE GOBERT, HEATHER L HARDEE, HEATHER LEIGH HARDEE-GOBERT
CRD#: 5435385
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 2 POST OAK CENTRAL
1980 POST OAK BLVD, SUITE 1630 & 1525
HOUSTON, TX 77056-3859
Registration History
201020122014201620182020202220242026IARBC CAPITAL MARKETS, LLC (CRD# 31194)2011 - Present (13 years)BRBC CAPITAL MARKETS, LLC (CRD# 31194)2010 - Present (14 years)
Disclosure(s)
View By:
3/30/2020
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 11/11/2022

B
New Mexico 11/29/2010

B
California 11/29/2010

B
New York 11/24/2021

B
Colorado 11/29/2010

B
North Carolina 11/29/2010

B
Connecticut 7/26/2024

B
Ohio 12/16/2024

B
Delaware 8/5/2016

B
Oklahoma 10/25/2017

B
Florida 11/29/2010

B
Oregon 11/29/2010

B
Kentucky 10/18/2022

B
Texas 11/25/2010

B
Louisiana 11/29/2010

IA
Texas 10/31/2011

B
Michigan 11/30/2021

B
Wyoming 5/18/2018

B
New Jersey 7/26/2024

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)
2 POST OAK CENTRAL 1980 POST OAK BLVD, SUITE 1630 & 1525, HOUSTON, TX 77056-3859
MISSOURI CITY, TX
Registered with this firm since 10/31/2011

B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
2 POST OAK CENTRAL 1980 POST OAK BLVD, SUITE 1630 & 1525, HOUSTON, TX 77056-3859
MISSOURI CITY, TX
Registered with this firm since 10/1/2010

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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.