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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2010-02-19
MD RA APPROVED 2008-03-20
  • TX RA
    APPROVED_RES
    Since 2010-02-19
  • MD RA
    APPROVED
    Since 2008-03-20

Branch Locations

2800 Quarry Lake Drive Suite 260, Baltimore, MD 21202-3751 • United States

Baltimore, MD • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Rbc Capital Markets, Llc Baltimore MD 03/2008 Present
City National Bank Baltimore MD 03/2017 01/2025
Previous Registrations
  • 2006-02-21 → 2008-04-04
    Pikesville, MD
    New York, NY
    Pikesville, MD
  • 1999-04-08 → 2006-02-21
    Legg Mason Wood Walker, Incorporated
    Pikesvill, MD
Other Businesses

1)RONALD MCDONALD HOUSE CHARITIES OF BALTIMORE; ADDRESS: 635 W LEXINGTON ST BALTIMORE, MD 21201; BUSINESS DESCRIPTION: NOT FOR PROFIT - HOUSING FOR FAMILIES OF CHILDREN RECEIVING TREATMENT AT LOCAL HOSPITALS; NOT INVESTMENT RELATED; START DATE: 06/01/2012; CAPACITY: BOARD OF DIRECTORS; DUTIES: PROVIDING GUIDANCE FOR THE LONG TERM STABILITY OF RMH; HOURS DEVOTED PER WEEK: .50; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 2)Name of Business: United Way- Women's United Business Description: Non Profit helping Central Maryland Business is investment-related: (yes or no) Address: 1800 Washington Blvd, Suite 340, Baltimore, MD 21230 Capacity: Committee/Council Member (not associated with the Board of Directors) Start Date: 01/04/19 Duties: Women's United does mentoring and other charitable work around the city. Hours devoted per month: 1 Hours devoted during securities hours per month: .5 3)Name: Baltimore Leadership School for Young Women Address: 128 W Franklin St Baltimore, MD 21201 Business Description: Charter School for inner city girls Business is not investment related Projected Start Date: 10/01/19 Capacity: Board of Directors * Duties Performed: Help to make long term decisions on the longevity of the school Devoted to this OBA per Month: 2 Hours Devoted to this OBA during business hours: 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-04-05
S63 Uniform Securities Agent State Law Examination 1988-07-28
  • S65 Uniform Investment Adviser Law Examination
    1999-04-05
  • S63 Uniform Securities Agent State Law Examination
    1988-07-28
Other Names
  • Beth Helaine Cohen
  • Beth C Rosenwald

View on SEC IAPD

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