Michael A. Hamilton
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.
Michael Allan Hamilton, who also goes by Micahel Allan Hamilton, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 5 firms and has passed the Series 63, SIE, Series 87, Series 16 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2002 - July 28, 2004
RBC CAPITAL MARKETS CORPORATION
November 17, 1999 - December 4, 2015
RBC CAPITAL MARKETS, LLC
August 1, 1997 - September 1, 1999
IAI SECURITIES, INC.
May 20, 1991 - August 31, 1995
WEEDEN & CO.L.P.
July 21, 1983 - November 14, 1989
PIPER SANDLER & CO.
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
