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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 2021-09-13
UT RA APPROVED 2017-01-06
  • TX RA
    APPROVED_RES
    Since 2021-09-13
  • UT RA
    APPROVED
    Since 2017-01-06

Branch Locations

1260 E Stringham Avenue Suite 300, Salt Lake City, UT 84106-2963 • United States

Park City, UT • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Salt Lake City UT 10/2005 01/2017
Rbc Capital Markets, Llc Salt Lake City UT 01/2017 Present
Previous Registrations
Other Businesses

(1)I*75772 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: PRIMARY CHILDRENS HOSPITAL FOUNDATION INVESTMENT RELATED: N ADDRESS OF BUSINESS: SALT LAKE CITY, UTAH 84158 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 11/19/2009 NUMBER OF HOURS DEVOTED: 8 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 4 DUTIES: RAISE MONEY FOR THE CHILDRENS HOSPITAL (2) PARK CITY PARTNERS; ADDRESS: PERSONAL RESIDENCE; BUSINESS DESCRIPTION: FAMILY LIMITED PARTNERSHIP; NOT INVESTMENT RELATED; START DATE: 01/03/2005; CAPACITY: PARTNER; DUTIES: NONE; HOURS DEVOTED PER WEEK: 15 MIN; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: NONE (3) PRIMARY CHILDRENS HOSPITAL FOUNDATION; ADDRESS: SALT LAKE CITY, UTAH; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: CHILDRENS' HOSPITAL; CAPACITY: DIRECTOR; START DATE: 02/06/2009; DUTIES: ATTEND BOARD MEETINGS FOR THE FOUNDATION; HOURS DEVOTED PER MONTH: 01; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 00;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-11-20
S65 Uniform Investment Adviser Law Examination 1996-11-29
S63 Uniform Securities Agent State Law Examination 1993-10-06
  • S66 Uniform Combined State Law Examination
    2001-11-20
  • S65 Uniform Investment Adviser Law Examination
    1996-11-29
  • S63 Uniform Securities Agent State Law Examination
    1993-10-06
Other Names
  • Mark E Purcell

View on SEC IAPD

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