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KALI KRISTINA MCFARLAND
CRD#: 6255892
IA
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RBC CAPITAL MARKETS, LLCCRD#: 31194 1801 California Street
Suite 3900
DENVER, CO 80202-5822
Suite 3900
DENVER, CO 80202-5822
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Disclosures
11
Years of Experience
View By:
State Registrations
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Arizona 10/23/2019
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Nevada 10/23/2019
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California 10/23/2019
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New Jersey 10/23/2019
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Colorado 10/21/2019
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North Carolina 2/19/2025
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Colorado 10/21/2019
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North Dakota 10/23/2019
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Florida 10/23/2019
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Oklahoma 10/23/2019
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Georgia 10/23/2019
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Pennsylvania 10/23/2019
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Idaho 10/23/2019
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Texas 10/23/2019
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Iowa 10/23/2019
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Texas 10/23/2019
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Louisiana 10/23/2019
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Utah 10/23/2019
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Montana 5/23/2023
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Washington 10/23/2019
SRO Registrations
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View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 10/21/2019
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Registered with this firm since 10/21/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/04/2016 - 10/22/2019 | DENVER, CO | |
B | 05/17/2016 - 10/22/2019 | DENVER, CO | |
B | 12/16/2013 - 04/12/2016 | CENTENNIAL, CO |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.