Sandra V. Amundsen
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sandra Veronica Amundsen, who also goes by Sandra V Amundsen, Sandy Amundsen, Sandra V Johnson, Sandra Veronica Johnson, Sandra Veronica Rios Johnson, Sandy Johnson, was a registered financial professional .
Sandra is a previously registered financial professional and started their career in finance in 1983. Sandra had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2006 - February 16, 2007
RBC CAPITAL MARKETS CORPORATION
March 2, 1998 - June 9, 2020
RBC CAPITAL MARKETS, LLC
February 20, 1995 - March 2, 1998
DAIN RAUSCHER INCORPORATED
January 22, 1986 - January 4, 1995
GLICKENHAUS & CO.
April 22, 1983 - December 19, 1985
FIRSTMARK SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RBC CAPITAL MARKETS CORPORATION
CRD#: 6579 / SEC#: , 8-1672
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | 100% OWNER | |
| BURKE, ARGYLE IAN | DIRECTOR OF HUMAN RESOURCES (NVBOD) | 4528701 |
| CHASE, RICHARD TROY | MD/GENERAL COUNSEL/SROP/ | 2949113 |
| COMMANDER, MARK THOMAS | CHIEF COMPLIANCE OFFICER/MANAGING DIRECTOR | 1082296 |
| DONOVAN, THOMAS BRYAN | CHIEF OPERATIONS OFFICER | 860963 |
| DORP, DIETER ALFONS | DIRECTOR (BOD) | 4355241 |
| GOTTLIEB, PAUL MITCHEL | CHIEF OPERATING OFFICER | 1691382 |
| MACDONALD, DONALD BRUCE | CHAIRMAN(BOD) | 2595575 |
| MORIARTY, WILLIAM WALLACE | DIRECTOR (BOD) | 2588339 |
| NORRIS, MICHAEL JOHN | NON-EMPLOYEE (BOD) | 4441443 |
| PAVERMAN, MARK ELLIOT | CROP | 1046105 |
| RICHARDS, DAVID ALBERT | NON EMPLOYEE (BOD) | 4441445 |
| SANCHEZ, R PETER | HEAD OF GLOBAL OPERATIONS, MANAGING DIRECTOR | 2418424 |
| SCACE, ANDREW GUILD | NON EMPLOYEE (BOD) | 2430826 |
| STANDISH, MARK ALLAN | PRESIDENT & CEO(BOD) | 2223303 |
| WINOGRAD, CHARLES MARTIN | NON EMPLOYEE (BOD) | 4443747 |
Disclosures
| Regulatory Event | 18 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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