Individual Firm
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FRANK CATRENA VARGAS JR
CRD#: 851235
IA
B
RBC CAPITAL MARKETS, LLCCRD#: 31194 5250 NORTH PALM AVENUE
SUITE 111
FRESNO, CA 93704-2226
SUITE 111
FRESNO, CA 93704-2226
0
Disclosures
45
Years of Experience
View By:
State Registrations
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Alabama 4/29/2022
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Montana 5/2/2022
B
Alaska 2/28/2025
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Nebraska 11/18/2022
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Arizona 4/29/2022
B
Nevada 4/29/2022
B
California 4/29/2022
B
New Jersey 11/18/2022
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California 5/2/2022
B
North Carolina 5/2/2023
B
Colorado 4/29/2022
B
Oklahoma 4/29/2022
B
Florida 11/18/2022
B
Oregon 4/29/2022
B
Georgia 6/9/2022
B
Texas 4/29/2022
B
Hawaii 11/18/2022
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Texas 4/29/2022
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Idaho 4/29/2022
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Utah 11/18/2022
B
Kentucky 4/29/2022
B
Vermont 11/18/2022
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Maryland 11/18/2022
B
Virginia 4/29/2022
B
Massachusetts 11/18/2022
B
Washington 4/29/2022
B
Missouri 4/29/2022
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 4/29/2022
B
Registered with this firm since 4/29/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/01/2019 - 04/29/2022 | FRESNO, CA | |
B | 05/01/2019 - 04/29/2022 | FRESNO, CA | |
IA | 05/13/2003 - 05/08/2019 | FRESNO, CA | |
B | 08/07/1998 - 05/08/2019 | FRESNO, CA | |
B | 08/25/1993 - 08/11/1998 | NEW YORK, NY | |
B | 03/23/1990 - 10/07/1991 | NEW YORK, NY | |
B | 04/04/1989 - 03/23/1990 | KANSAS CITY, MO | |
B | 06/03/1987 - 03/20/1989 | ||
B | 10/15/1985 - 06/08/1987 | ||
B | 04/21/1978 - 10/25/1985 | ||
B | 10/01/1983 - 06/12/1985 |
KANSAS CITY, MO
04/04/1989 - 03/23/1990
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.