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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 2021-11-08
NY RA APPROVED 2021-09-02
  • TX RA
    APPROVED_RES
    Since 2021-11-08
  • NY RA
    APPROVED
    Since 2021-09-02

Branch Locations

1211 Avenue Of The Americas Suite 3300, New York, NY 10036 • United States

North Salem, NY • 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
J.P Morgan Securities Inc. New York NY 11/2009 10/2020
Jpmorgan Chase Bank, N.A. New York NY 10/2010 10/2020
Rbc Capital Markets, Llc New York NY 10/2020 Present
City National Bank New York NY 11/2020 Present
  • 11/2009 → 10/2020
    J.P Morgan Securities Inc.
    New York, NY
  • 10/2010 → 10/2020
    Jpmorgan Chase Bank, N.A.
    New York, NY
  • 10/2020 → Present
    New York, NY
  • 11/2020 → Present
    City National Bank
    New York, NY
Other Businesses

1) Name of Entity: She Believed she could Non-Investment related ADDRESS: Nashville Tennessee Woolworth Theater Nature of OBA: executive producers of live show in Nashville production Position/Title/Relationship: Executive Producer Start Date: 09/01/22 Time Devoted: 0 Duties: executive producers are providing funding for SBSC live production in Nashville . the ownership interest in the production is 2.5% 2) NAME OF ENTITY: n/a - guest house rental ADDRESS: 4561 Boone Creek Rd Oxford, MD INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Owns property in Maryland that is being sold 9/19/22. Rented guest house for $1500 to a non client CAPACITY: Other START DATE: 9/1/22 DUTIES: Just own the home that is being rented HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-05-06
S63 Uniform Securities Agent State Law Examination 1989-11-14
  • S65 Uniform Investment Adviser Law Examination
    1997-05-06
  • S63 Uniform Securities Agent State Law Examination
    1989-11-14
Other Names
  • Paula Steinberg
  • Paula Marie Fiato

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