Home  >  BrightScope Advisor Pages  >  William Lee Notrica

help text

William Lee Notrica

Other Names: William L Notrica
Firm:
RBC Capital Markets, LLC
Type: Dual Registration
Contact Advisor
Edit Profile

Description

William Notrica a financial professional at RBC Capital Markets, LLC, a broker-dealer with over 4,750 registered representatives nationwide. William has held an industry securities registration for 36 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

help text

Answers and Guides

help text
0 Answers and 0 Financial Guides

Top Answers

William Lee Notrica has not answered any questions on Financial Q&A.

Top Guides

William Lee Notrica has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

help text
ownership pie chart
Individuals
Business Development Companies
Other Investment Advisors
State or Municipal Government Entities
Other Pooled Investment Vehicles
Investment Companies
Charitable Organizations
Corporations or Other Businesses
Pension and Profit Sharing Plans
Banking or Thrift Institutions
High Net Worth Individuals
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

help text
Employer Years Dates
Rbc Capital Markets Corporation 5 years, 2 months Mar 2008 - Present
Rbc Dain Rauscher 4 years, 1 month Feb 2004 - Mar 2008
Wachovia Securities, LLC 8 months Jun 2003 - Feb 2004
Wachoviasecurities, Inc. 11 months Jun 2002 - May 2003
First Union Securities Inc 11 years, 9 months Sep 1990 - Jun 2002
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 12/20/2010, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

help text
Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

7 Customer Disputes

8 Customer Disputes
As of Date
12/20/2010
06/15/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

help text
Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 06/02/1999
General Securities Sales Supervisor Examination (Options Module & GeneralModule) Series 8 05/31/1990
Uniform Securities Agent State Law Examination Series 63 10/03/1983
Interest Rate Options Examination Series 5 10/12/1981
Registered Options Principal Examination Series 4 02/23/1981
AMEX Put and Call Exam PC 08/29/1977
General Securities Representative Examination Series 7 01/17/1976

Firm Compensation Arrangements

help text

Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Commissions