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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 2020-09-04
TX RA APPROVED 2020-09-03
  • FL RA
    APPROVED
    Since 2020-09-04
  • TX RA
    APPROVED
    Since 2020-09-03

Branch Locations

5355 Town Center Road Suite 800, Boca Raton, FL 33486 • United States

3801 Pga Blvd Suite 801, Palm Beach Gardens, FL 33410-2757 • United States

Palm Beach Gardens, FL • 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 (7691) Little Rock AR 08/2010 09/2020
Bank Of America,Na Boca Raton FL 11/2010 09/2020
Rbc Capital Markets, Llc Boca Raton FL 09/2020 Present
City National Bank Boca Raton FL 10/2020 Present
  • 08/2010 → 09/2020
    Merrill Lynch, Pierce, Fenner & Smith Incorporated (7691)
    Little Rock, AR
  • 11/2010 → 09/2020
    Bank Of America,Na
    Boca Raton, FL
  • 09/2020 → Present
    Boca Raton, FL
  • 10/2020 → Present
    City National Bank
    Boca Raton, FL
Previous Registrations
Other Businesses

I*37313 For profit or not for profit: For-Profit Organization Name of outside business organization: Restor Technologies Investment related: N Address of business: Huntington, New York 11746 Nature of business: Family Business, Position, title, association: Consultant, Start date of relationship: 1/1/1997 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: spend minimal time after work hours consulting and working with the marketing (2) FAU COLLEGE OF MEDICINE - BOARD MEMBER, 777 GLADES RD, BC 71, BOCA RATON, FL 33431 - INVESTMENT RLT'D - NO, HRS DEVOTED TO ACTIVITY - 1, HRS DURING TRADING - 0, DATE ACTIVITY BEGAN 05/08/12, POSITION - ADVISORY BOARD MEMBER; FLORDIA ATLANTIC UNIVERSITY - BOARD OF MEDICINE ADVISORY BOARD. (3) NAME OF ENTITY: Florida Atlantic University - Charles E. Schmidt College of Medicine; ADDRESS: 777 Glades Road Boca Raton, FL 33431; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: College of Medicine - Advisory Board; CAPACITY: Advisory Board Member; START DATE: 05/20/10; DUTIES: I am a board member on the board and we meet a few times a year to share ideas within the university & the community; HOURS DEVOTED PER MONTH: 01; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 01; (4) NAME OF ENTITY: SATURN II HOLDINGS LLC ADDRESS: 308 VIZCAYA DRIVE, PALM BEACH GARDENS, FL 33418 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: INVESTMENT VEHICLE FOR REAL ESTATE DEVELOPMENT CAPACITY: Owner - Passive START DATE: 9/23/2020 DUTIES: None HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (5) NAME OF ENTITY: The Benjamin School ADDRESS: 11000 Ellison Wilson Road North Palm Beach, FL 33408 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Nomination for Board of Trustees CAPACITY: Other- Board of Trustees, which is a group that is established to define and implement the strategic direction of The Benjamin School. Of which there are 20 trustees. No compensation is received. START DATE: 07/07/2023 DUTIES: Define and implement the strategic direction of The Benjamin School. Some tasks include monitoring admission rates and networking with current and new families. Overseeing strategic initiatives to strengthen the school i.e. new programs, infrastructure & benefit packages for the school. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (6) NAME OF ENTITY: GKW Golf, LLC ADDRESS: 13646 Artisan Circle Suite 801, Palm Beach Gardens, Florida 33418 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: Dec 10, 2025 CAPACITY: Owner DUTIES: Co-owner of LLC with intent of purchasing investment property. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours (7) NAME OF ENTITY: GKW Golf, LLC ADDRESS: 13646 Artisan Circle, Palm Beach Gardens, Florida 33418 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: Dec 10, 2025 CAPACITY: Owner DUTIES: Co-owner of LLC with intent of purchasing investment property. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-07-14
S66 Uniform Combined State Law Examination 2001-01-12
  • S65 Uniform Investment Adviser Law Examination
    2005-07-14
  • S66 Uniform Combined State Law Examination
    2001-01-12

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