Robert J. Grapin
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.
Robert Jay Grapin, who also goes by Robert Joseph Grapin, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1988. Robert had worked at 11 firms and has passed the Series 63 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
January 2, 2007 - November 30, 2007
RBC CAPITAL MARKETS CORPORATION
April 24, 2006 - December 7, 2007
G-2 TRADING,LLC
September 7, 2001 - January 2, 2007
CARLIN EQUITIES, LLC
August 7, 2000 - September 21, 2001
RAYMOND JAMES & ASSOCIATES, INC.
October 7, 1991 - August 10, 2000
GRUNTAL & CO., L.L.C.
August 26, 1991 - October 16, 1991
PRUDENTIAL EQUITY GROUP, LLC
May 3, 1990 - September 12, 1991
LEHMAN BROTHERS INC.
March 9, 1989 - May 16, 1990
CIBC WORLD MARKETS CORP.
February 28, 1989 - March 15, 1989
PARKER JAMESON, INC.
February 23, 1989 - March 1, 1989
GUARDIAN INTERNATIONAL SECURITIES CORP.
March 23, 1988 - October 2, 1989
F.D. ROBERTS 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
