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Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2021-06-22
FL RA APPROVED 2021-06-21
TX RA APPROVED_RES 2021-06-18
  • VA RA
    APPROVED
    Since 2021-06-22
  • FL RA
    APPROVED
    Since 2021-06-21
  • TX RA
    APPROVED_RES
    Since 2021-06-18

Branch Locations

8010 Towers Crescent Drive 4Th Floor, Vienna, VA 22182 • United States

Wellington, FL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Llc Washington DC 06/2009 06/2021
Morgan Stanley Private Bank, N.A. New York NY 01/2015 06/2021
Rbc Capital Markets, Llc Mclean VA 06/2021 Present
City National Bank Mclean VA 08/2021 Present
  • 06/2009 → 06/2021
    Morgan Stanley Smith Barney Llc
    Washington, DC
  • 01/2015 → 06/2021
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 06/2021 → Present
    Mclean, VA
  • 08/2021 → Present
    City National Bank
    Mclean, VA
Previous Registrations
  • 2009-06-01 → 2021-06-22
    Washington, DC
    Mclean, VA
    Washington, DC
    Loxahatchee, FL
  • 2006-02-21 → 2009-06-01
    Washington, DC
    New York, NY
    Washington, DC
  • 1993-12-15 → 2006-02-21
    Legg Mason Wood Walker, Incorporated
    Washington, DC
Other Businesses

1. RICKIE FOWLER FOUNDATION; WASHINGTON, DC; RAISES MONEY AND DISTRIBUTES IT BACK TO COMMUNITY THRU VARIOUS NON PROFIT PROJECTS; WORKS WITH FELLOW BOARD MEMBERS TO DEVELOP FOUNDATION FUNDRAISING EFFORTS; 1 AFTER BUSINESS HOURS; 0 DURING BUSINESS HOURS; 01/2013 2) NAME OF ENTITY: 10Goal Ponies ADDRESS: 19388 Broad Shore Walk Loxahatchee, FL 33470 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Equestrian horse training and sales CAPACITY: Owner - Passive START DATE: 11/1/22 Just decision making on purchases and sales food and beverages to patrons. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 3) NAME OF ENTITY: 2114 Greenview Cove LLC ADDRESS: 2114 Greenview Cove Dr Wellington, FL 33414 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: CAPACITY: Owner - Active START DATE: 12/22/22 DUTIES: None its home ownership we just live in it HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 4) NAME OF ENTITY: RRPSLA, LLC ADDRESS: 2114 Greenview Cove Dr Wellington, FL 33414 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: LLC created to invest in private company Fillium. CAPACITY: Owner - Passive START DATE: 06/12/2023 DUTIES: None other than to fund it. HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 5) NAME OF ENTITY: Bob Parr Investment Property ADDRESS: 2212 Alford Way Wellington, FL 33414 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Investment Property bought to be remodeled and sold CAPACITY: Owner - Active START DATE: 10/23/2023 DUTIES: In charge of the management of this rental property HOURS DEVOTED PER MONTH: 2 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-04-05
S63 Uniform Securities Agent State Law Examination 1988-03-02
  • S65 Uniform Investment Adviser Law Examination
    1993-04-05
  • S63 Uniform Securities Agent State Law Examination
    1988-03-02
Other Names
  • Bob Parr

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