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SORIN IANCU
CRD#: 719175
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RBC CAPITAL MARKETS, LLCCRD#: 31194 833 E. Michigan Street
Suite 1100
Milwaukee, WI 53202
Suite 1100
Milwaukee, WI 53202
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Disclosures
44
Years of Experience
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State Registrations
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Alabama 6/7/2016
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Minnesota 3/2/1998
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Arizona 3/2/2000
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New Mexico 9/22/2017
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California 7/12/2004
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New York 2/17/2005
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Colorado 3/29/2016
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Pennsylvania 3/2/2000
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District of Columbia 9/23/2022
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South Carolina 10/13/2009
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Florida 3/2/1998
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Texas 7/13/2016
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Florida 3/30/2023
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Texas 7/14/2016
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Georgia 7/12/2004
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Wisconsin 3/2/1998
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Illinois 3/2/1998
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Wisconsin 4/15/1998
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Maryland 6/10/1998
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Registered with this firm since 4/15/1998
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Registered with this firm since 3/2/1998
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/02/1990 - 03/02/1998 | ||
B | 07/01/1981 - 01/13/1990 | WEEHAWKEN, NJ | |
B | 09/08/1981 - 04/28/1989 | NEW YORK, NY | |
B | 11/24/1980 - 07/06/1981 |
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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.