Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Peggy? Claim Your ProfilePeggy Lynn Rokala is a financial professional with over 35 years of experience in the industry. Peggy is currently registered with RBC Capital Markets, LLC in Minnesota and has been with the firm since March 2008. Prior to her current role, Peggy held positions at RBC DAIN RAUSCHER INC. and MILLER JOHNSON STEICHEN KINNARD, INC. Peggy has a wide range of experience working with various clients including high-net-worth individuals, corporations, and institutions. She specializes in portfolio management, financial planning, and pension consulting.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
MN
11/18/2013 - Present
RBC Capital Markets, LLC (MINNEAPOLIS MN)
NY
03/14/2001 - 06/07/2004
RBC DAIN RAUSCHER INC. (NEW YORK NY)
MN
01/01/2001 - 02/20/2001
MILLER JOHNSON STEICHEN KINNARD, INC. (MINNEAPOLIS MN)
MN
06/20/2000 - 01/01/2001
MILLER, JOHNSON & KUEHN, INCORPORATED (MINNEAPOLIS MN)
NY
03/02/1998 - 06/15/2000
DAIN RAUSCHER INCORPORATED (NEW YORK NY)
NA
04/07/1989 - 03/02/1998
DAIN RAUSCHER INCORPORATED
MN
11/04/1985 - 04/05/1989
MILLER & SCHROEDER FINANCIAL, INC. (MINNEAPOLIS MN)
NA
06/05/1982 - 11/08/1985
ALLISON-WILLIAMS COMPANY
NA
11/17/1981 - 05/26/1982
ROBERT W. BAIRD & CO. INCORPORATED
BOTH
Issued 06/03/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/10/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/17/2012
Series 24 - General Securities Principal Examination
BC
Issued 01/05/2024
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/19/1983
Series 7 - General Securities Representative Examination
BC
Issued 10/17/1981
Series 52 - Municipal Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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