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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-06-05
TX RA APPROVED_RES 2025-05-10
NY RA APPROVED 2025-05-09
  • FL RA
    APPROVED
    Since 2025-06-05
  • TX RA
    APPROVED_RES
    Since 2025-05-10
  • NY RA
    APPROVED
    Since 2025-05-09

Branch Locations

Naples, FL • United States

Jamesville, NY • United States

5786 Widewaters Pkwy Suite 2, Syracuse, NY 13214-3500 • 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
Janney Montgomery Scott Llc Syracuse NY 02/2006 05/2025
Rbc Capital Markets, Llc Syracuse NY 05/2025 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-11-02
S63 Uniform Securities Agent State Law Examination 1989-03-10
  • S65 Uniform Investment Adviser Law Examination
    2024-11-02
  • S63 Uniform Securities Agent State Law Examination
    1989-03-10

View on SEC IAPD

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