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Detailed Report
KIMBERLY RENEE SHAPPEE
CRD#: 6314447
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 125 BANK STREET
SUITE 700
MISSOULA, MT 59802-4424
Registration History
20142015201620172018201920202021202220232024202520262 FIRMS2014 - 2016 (2 years)2 FIRMS2016 - Present (8 years)
License(s)

State Registrations

B
Alabama 11/17/2016
IA
Montana 11/17/2016
B
Alaska 9/10/2020
B
Nevada 11/17/2016
B
Arizona 11/17/2016
B
New Jersey 11/17/2016
B
Arkansas 10/13/2021
B
New Mexico 9/16/2021
B
California 11/17/2016
B
New York 12/6/2021
B
Colorado 11/17/2016
IA
New York 12/7/2021
B
Delaware 1/2/2018
B
North Carolina 11/17/2016
B
District of Columbia 6/27/2017
B
North Dakota 11/17/2016
B
Florida 4/2/2020
B
Ohio 11/17/2016
B
Georgia 9/29/2021
B
Oklahoma 11/17/2016
B
Hawaii 5/2/2019
B
Oregon 11/17/2016
B
Idaho 11/17/2016
B
Pennsylvania 7/9/2021
B
Illinois 11/17/2016
B
South Dakota 7/1/2020
B
Kansas 10/22/2018
B
Texas 11/17/2016
B
Maryland 10/6/2022
IA
Texas 11/17/2016
B
Massachusetts 11/1/2019
B
Utah 11/17/2016
B
Michigan 11/17/2023
B
Virginia 6/14/2017
B
Minnesota 6/7/2017
B
Washington 11/17/2016
B
Mississippi 10/13/2021
B
Wisconsin 11/17/2016
B
Missouri 11/17/2016
B
Wyoming 11/17/2016
B
Montana 11/17/2016

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)
125 BANK STREET SUITE 700, MISSOULA, MT 59802-4424
Missoula, MT
Registered with this firm since 11/17/2016
B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
125 BANK STREET SUITE 700, MISSOULA, MT 59802-4424
Missoula, MT
Registered with this firm since 11/17/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/18/2014 - 11/28/2016 UBS FINANCIAL SERVICES INC. (CRD#:8174) MISSOULA, MT
B
 05/28/2014 - 11/28/2016 UBS FINANCIAL SERVICES INC. (CRD#:8174) MISSOULA, MT
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.