Category: RBC Capital Markets

John Peter Micera (CRD#: 1255342) is a registered broker and investment advisor with RBC Capital Markets, LLC in Florham Park, NJ. Broker’s Background He entered the securities industry in 1984 and previously worked with Gabriele, Hueglin & Cashman Inc., and Tucker Anthony Incorporated. Current and Past Allegations of Conduct Leading to Investment Loss According to […]

John Peter Micera (CRD#: 1255342) is a Registered Broker and Investment Advisor with RBC Capital Markets, LLC, in Florham Park, NJ.   Broker’s Background He entered the securities industry in 1984 and previously worked with Gabriele, Hueglin & Cashman Inc., and Tucker Anthony Incorporated.   Current and Past Allegations of Conduct Leading to Investment Loss […]

Martin A. Klein III (CRD#: 1778613) is a Registered Broker and Investment Advisor with RBC Capital Markets, LLC in Newport Beach, CA. Broker’s Background He entered the securities industry in 1987 and previously worked with Prudential Securities Incorporated; Morgan Stanley DW Inc.; Morgan Stanley & Co.; and J.P Morgan Securities, LLC. Current and Past Allegations […]

Paul Koch (CRD#: 1777599) is a previously registered Broker and Investment Advisor. Broker’s Background Paul Koch entered the securities industry in 1987 and previously worked for RBC Capital Markets, LLC; UBS Financial Services, Inc.; Citigroup Global Markets, Inc.; Miller Johnson Steichen Kinnard, Inc.; John G. Kinnard & Company, Inc.; Prudential Securities, Inc.; Piper Jaffray, Inc.; […]

Brian Wurdemann (CRD#: 4206425) is a duly registered Investment Advisor and Broker at RBC Capital Markets, LLC in New York, NY. He entered the securities industry in 2000 and previously worked for UBS Financial Services, Inc; Morgan Stanley Smith Barney; Citigroup Global Markets, Inc.; and Merrill Lynch, Pierce, Fenner & Smith, Inc. According to publicly […]

Gregory Dudzik (CRD#: 1133671) is an Financial Advisor at RBC Capital Markets, LLC in Providence, RI. He entered the securities industry in 1983 and previously worked for Janney Montgomery Scott, LLC; Tucker Anthony, Inc.; Painewebber, Inc.; Lehman Brothers, Inc.; Drexel Burnham Lambert, Inc; Lehman Brothers Kuhn Loeb, Inc.; Shearson Lehman Brothers, Inc.; and Shearson/American Express, […]

Christopher Phillips (CRD#: 4761544) is an Investment Advisor at RBC Capital Markets, LLC in Stamford, CT. He entered the securities industry in 2004 and previously worked for Merrill Lynch, Pierce, Fenner & Smith, Inc.; American Express Financial Advisors, Inc.; and IDS Life Insurance Co. According to publicly available records released by the Financial Industry Regulatory […]

Joseph Ljong Chu (CRD 4546805) is a Financial Advisor at RBC Capital Markets, LLC in Stamford, CT. Joseph Ljong Chu has been in the securities industry since 2002 and previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in July and […]

Joseph Chu (CRD # 4546805) is a Financial Advisor at RBC Capital Markets, LLC in Stamford, CT. Joseph Chu has been in the securities industry since 2002 and previously worked at Merrill Lynch, Pierce, Fenner & Smith. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in June and July 2020, […]

Frederick Levine (Fred Levine) (CRD # 1765119) is a Financial Advisor at RBC Capital Markets in Florham Park, NJ. Fred Levine previously worked for for Oppenheimer & Co. in Florham Park, NJ. According to publicly available records released by the Financial Industry Regulatory Authority (“FINRA”), on August 3, 3030, Fred Levine was sanctioned by FINRA, […]