Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Travis? Claim Your ProfileTravis Truax is a financial advisor with RBC Capital Markets, LLC, and has over 17 years of experience in the industry. Previously Travis was a financial advisor with Columbia Management Investment Distributors, Inc., Ameriprise Financial Services, Inc., Ameriprise Advisor Services, Inc., Quasar Distributors, LLC, Transamerica Capital, Inc., and Woodbury Financial Services, Inc. Travis holds FINRA Series 6, 7, 24, 63, and 66 licenses and is registered in Minnesota. Travis specializes in providing financial planning, portfolio management, pension consulting, and educational seminars to a diverse clientele.
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.
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2
MN
06/14/2023 - Present
RBC Capital Markets, LLC (MINNEAPOLIS MN)
MN
02/17/2011 - 05/26/2023
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. (MINNEAPOLIS MN)
MN
08/13/2014 - 05/17/2017
AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)
MN
05/27/2009 - 02/17/2011
AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)
MI
08/03/2009 - 10/14/2009
AMERIPRISE ADVISOR SERVICES, INC. (DETROIT MI)
ME
03/13/2008 - 04/08/2009
QUASAR DISTRIBUTORS, LLC (PORTLAND ME)
MN
04/06/2006 - 12/10/2007
TRANSAMERICA CAPITAL, INC. (MINNEAPOLIS MN)
MN
06/01/2005 - 07/19/2005
WOODBURY FINANCIAL SERVICES, INC. (OAKDALE MN)
BOTH
Issued 11/16/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/07/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/10/2012
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/14/2009
Series 7 - General Securities Representative Examination
BC
Issued 05/31/2005
Series 6 - Investment Company Products/Variable Contracts 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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