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RACHEL ANN PAULIN
RACHEL A DELCASTILLO, RACHEL ANN DELCASTILLO, RACHEL DELCASTILLO, RACHEL A PAULIN
CRD#: 863055
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 655 W. BROADWAY
STE 1000
SAN DIEGO, CA 92101-8485
Registration History
197519801985199019952000200520102015202020252 FIRMS2000 - 2002 (2 years)2 FIRMS2002 - 2007 (4 years)2 FIRMS2007 - 2011 (3 years)2 FIRMS2011 - 2012 (1 year)2 FIRMS2012 - 2014 (2 years)2 FIRMS2014 - Present (10 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)1999 - 2000 (1 year)BBA INVESTMENT SERVICES, INC. (CRD# 12965)1992 - 1999 (6 years)BFIRST INTERSTATE INVESTMENTS,INC. (CRD# 17101)1991 - 1992 (1 year)BLEHMAN BROTHERS INC. (CRD# 7506)1989 - 1991 (1 year)BDREXEL BURNHAM LAMBERT INCORPO... (CRD# 7323)1987 - 1989 (2 years)BSHEARSON LOEB RHOADES INC. (CRD# 7506)1975 - 1982 (6 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1979 - 1979 (<1 year)
Disclosure(s)
View By:
6/9/2009
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 10/24/2016

B
Minnesota 1/11/2018

B
Alaska 9/16/2021

B
Missouri 10/28/2021

B
Arizona 1/2/2018

B
Montana 1/2/2018

B
Arkansas 12/1/2022

B
Nebraska 1/2/2018

B
California 10/3/2014

B
Nevada 1/2/2018

IA
California 10/3/2014

B
New Jersey 1/2/2018

B
Colorado 1/2/2018

B
New Mexico 12/20/2018

B
Connecticut 1/2/2018

B
New York 1/5/2018

B
Delaware 9/21/2021

B
North Carolina 12/19/2018

B
District of Columbia 12/21/2018

B
Ohio 9/15/2020

B
Florida 11/15/2016

B
Oklahoma 9/17/2021

B
Georgia 1/10/2019

B
Oregon 1/11/2018

B
Hawaii 9/17/2021

B
Pennsylvania 1/3/2018

B
Idaho 1/5/2018

B
Rhode Island 1/3/2019

B
Illinois 11/11/2016

B
South Carolina 3/26/2020

B
Indiana 1/5/2018

B
South Dakota 1/8/2018

B
Iowa 1/3/2018

B
Tennessee 1/4/2018

B
Kansas 9/17/2021

B
Texas 10/3/2014

B
Kentucky 9/23/2021

IA
Texas 10/3/2014

B
Louisiana 9/20/2021

B
Utah 12/20/2018

B
Maine 7/31/2024

B
Virginia 1/3/2018

B
Maryland 10/3/2014

B
Washington 1/5/2018

B
Massachusetts 1/2/2018

B
Wisconsin 12/20/2018

B
Michigan 9/20/2021

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
La Jolla, CA
Registered with this firm since 10/3/2014

B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
655 W. BROADWAY STE 1000, SAN DIEGO, CA 92101-8485
La Jolla, CA
Registered with this firm since 10/3/2014

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/06/2012 - 10/07/2014 FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. (CRD#:108559) SAN FRANCISCO, CA
B
07/05/2012 - 10/07/2014 FIRST REPUBLIC SECURITIES COMPANY, LLC (CRD#:105108) SAN DIEGO, CA
IA
01/03/2011 - 07/10/2012 WELLS FARGO ADVISORS, LLC (CRD#:19616) SAN DIEGO, CA
B
01/03/2011 - 07/10/2012 WELLS FARGO ADVISORS, LLC (CRD#:19616) SAN DIEGO, CA
IA
06/28/2007 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN DIEGO, CA
B
06/28/2007 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN DIEGO, CA
IA
09/18/2002 - 06/29/2007 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) SAN DIEGO, CA
B
09/18/2002 - 06/29/2007 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) SAN DIEGO, CA
IA
08/31/2000 - 09/27/2002 WACHOVIA SECURITIES, INC. (CRD#:19616) SAN DIEGO, CA
B
07/31/2000 - 09/27/2002 WACHOVIA SECURITIES, INC. (CRD#:19616) ST. LOUIS, MO
B
07/12/1999 - 08/28/2000 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BOSTON, MA
B
09/24/1992 - 07/12/1999 BA INVESTMENT SERVICES, INC. (CRD#:12965) OAKLAND, CA
B
03/14/1991 - 09/29/1992 FIRST INTERSTATE INVESTMENTS,INC. (CRD#:17101)
B
05/05/1989 - 03/11/1991 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
05/15/1987 - 06/05/1989 DREXEL BURNHAM LAMBERT INCORPORATED (CRD#:7323)
B
10/22/1975 - 07/14/1982 SHEARSON LOEB RHOADES INC. (CRD#:7506)
B
03/01/1979 - 10/28/1979 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
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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.