Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rachel? Claim Your ProfileRachel Paulin is an active investment advisor registered with RBC Capital Markets, LLC, where Rachel has been employed since 2014. Rachel has been in the financial industry for 43 years and is registered in 45 states for securities and in 2 states for investment advising. Rachel has worked for several other financial institutions throughout Rachel's career including First Republic Securities Company, LLC, Wells Fargo Advisors, LLC, Wells Fargo Investments, LLC, and Banc of America Investment Services, INC.
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
CA
10/03/2014 - Present
RBC Capital Markets, LLC (SAN DIEGO CA)
CA
07/05/2012 - 10/07/2014
FIRST REPUBLIC SECURITIES COMPANY, LLC (SAN DIEGO CA)
CA
01/03/2011 - 07/10/2012
WELLS FARGO ADVISORS, LLC (SAN DIEGO CA)
CA
06/28/2007 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (SAN DIEGO CA)
CA
09/18/2002 - 06/29/2007
BANC OF AMERICA INVESTMENT SERVICES, INC. (SAN DIEGO CA)
MO
07/31/2000 - 09/27/2002
WACHOVIA SECURITIES, INC. (ST. LOUIS MO)
MA
07/12/1999 - 08/28/2000
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
CA
09/24/1992 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
NA
03/14/1991 - 09/29/1992
FIRST INTERSTATE INVESTMENTS,INC.
NY
05/05/1989 - 03/11/1991
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
05/15/1987 - 06/05/1989
DREXEL BURNHAM LAMBERT INCORPORATED
NA
10/22/1975 - 07/14/1982
SHEARSON LOEB RHOADES INC.
NA
03/01/1979 - 10/28/1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 10/02/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/20/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/25/1986
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/17/1981
Series 5 - Interest Rate Options Examination
BC
Issued 02/17/1979
Series 7 - General 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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