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COURTNEY ELICE ALLEN
COURTNEY E ALLEN
CRD#: 5607322
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 655 W. BROADWAY
STE 1000
SAN DIEGO, CA 92101-8485
Registration History
20082010201220142016201820202022202420262 FIRMS2012 - Present (12 years)BMORGAN STANLEY (CRD# 149777)2010 - 2012 (1 year)BVANGUARD MARKETING CORPORATION (CRD# 7452)2008 - 2010 (1 year)IAMORGAN STANLEY (CRD# 149777)2011 - 2012 (1 year)
License(s)

State Registrations

B
Alabama 1/2/2018

B
Minnesota 11/9/2012

B
Alaska 8/26/2014

B
Missouri 9/6/2017

B
Arizona 11/9/2012

B
Montana 11/9/2012

B
Arkansas 11/25/2022

B
Nebraska 11/9/2012

B
California 11/9/2012

B
Nevada 11/9/2012

IA
California 11/9/2012

B
New Jersey 11/9/2012

B
Colorado 11/9/2012

B
New Mexico 11/9/2012

B
Connecticut 11/9/2012

B
New York 11/9/2012

B
Delaware 11/9/2012

B
North Carolina 11/9/2012

B
District of Columbia 11/9/2012

B
Ohio 9/17/2021

B
Florida 11/9/2012

B
Oklahoma 11/5/2018

B
Georgia 11/9/2012

B
Oregon 11/9/2012

B
Hawaii 11/9/2012

B
Pennsylvania 5/9/2013

B
Idaho 11/9/2012

B
Rhode Island 4/20/2016

B
Illinois 11/9/2012

B
South Carolina 12/19/2018

B
Indiana 11/9/2012

B
South Dakota 11/9/2012

B
Iowa 11/9/2012

B
Tennessee 11/9/2012

B
Kansas 11/9/2012

B
Texas 11/9/2012

B
Kentucky 11/9/2012

IA
Texas 11/9/2012

B
Louisiana 11/9/2012

B
Utah 7/8/2016

B
Maine 7/31/2024

B
Virginia 11/9/2012

B
Maryland 11/9/2012

B
Washington 11/9/2012

B
Massachusetts 11/9/2012

B
Wisconsin 12/19/2018

B
Michigan 11/9/2012

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 11/9/2012

B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
655 W. BROADWAY STE 1000, SAN DIEGO, CA 92101-8485
Registered with this firm since 11/9/2012

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/23/2011 - 11/16/2012 MORGAN STANLEY (CRD#:149777) SAN DIEGO, CA
B
12/21/2010 - 11/16/2012 MORGAN STANLEY (CRD#:149777) SAN DIEGO, CA
B
11/11/2008 - 04/28/2010 VANGUARD MARKETING CORPORATION (CRD#:7452) SCOTTSDALE, AZ
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B
Broker
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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.