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Category RBC Capital Markets

RBC Capital Markets Financial Advisor Joseph Chu Has Seven Customer Complaint Disclosures, Including Pending Complaint For Overconcentration in Energy Securities

September 16, 2021

Joseph Chu (CRD#: 4546805) is a dually registered Broker and Investment Advisor at RBC Capital Markets, LLC in Stamford, CT.  He entered the securities industry in 2002 and previously worked for Merrill Lynch, Pierce, Fenner & Smith, Inc.   According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in June 2021,…

RBC Capital Markets, LLC Financial Advisor, Brian Wurdeman, Has Seven Customer Complaints

March 29, 2021

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…

Customer Dispute Pending Against RBC Capital Markets Financial Advisor Gregory Dudzik for Making Unsuitable Recommendations

February 23, 2021

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,…

Customer Complaint Alleging Unsuitability Pending Against RBC Capital Markets Investment Advisor Christopher Phillips

February 23, 2021

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…

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