Lindy S. Boville
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.
Lindy Suzanne Boville was a registered financial professional .
Lindy is a previously registered financial professional and started their career in finance in 2002. Lindy had worked at 5 firms and has passed the Series 63, Series 55 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
March 1, 2011 - September 29, 2014
MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.
January 27, 2010 - February 17, 2011
BROADBAND CAPITAL MANAGEMENT, LLC
February 29, 2008 - May 15, 2009
RBC CAPITAL MARKETS, LLC
September 13, 2007 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
February 1, 2002 - August 23, 2007
RAYMOND JAMES (USA) LTD.
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
Series 55
Date: 2/19/2007
Limited Representative-Equity Trader ExamCurrent Firm
MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.
CRD#: 38108 / SEC#: , 8-48233
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MACQUARIE CAPITAL MARKETS CANADA LTD. (FORMERLY ORION SECURITIES INC.) | SHAREHOLDER (PARENT COMPANY) | |
| ALTARAS, ANDRE YEHUDA | CHIEF OPERATING OFFICER (12/2015) | 5625662 |
| CONAHAN, JAMES S | CFO/FINOP | 2538695 |
| CRISTALL, DANIEL JOHN | DIRECTOR | 6254685 |
| DOYLE, JAMES DAVID TATE | DIRECTOR | 7151466 |
| HEBERT-SEYNETT, CHARLES | SUPERVISORY PRINCIPAL | 6620102 |
| ROZIER, STEPHANE | DIRECTOR | 7198309 |
| WONG, AUGUSTINE MING | CHIEF COMPLIANCE OFFICER | 4682800 |
Disclosures
| Regulatory Event | 7 |
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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