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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2020-06-09
TX RA APPROVED 2020-06-03
  • CT RA
    APPROVED
    Since 2020-06-09
  • TX RA
    APPROVED
    Since 2020-06-03

Branch Locations

30 Batterson Park Road Suite 350, Farmington, CT 06032 • United States

Old Saybrook, CT • 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 Mystic CT 09/2010 06/2020
Bank Of America, N.A. Mystic CT 06/2011 06/2020
Rbc Capital Markets, Llc Hartford CT 06/2020 Present
City National Bank Hartford CT 12/2020 Present
Previous Registrations
Other Businesses

I*93667 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: COMMUNITY FOUNDATION OF EASTERN CONNECTICUT INVESTMENT RELATED: Y ADDRESS OF BUSINESS: 68 FEDERAL STREET, NEW LONDON, CONNECTICUT 6320 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 3/2/2016 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MEMBER OF INVESTMENT COMMITTEE. ADVISORY ONLY, NO RESPONSIBILITY, ACCESS, OR DISCRETION OVER DISPERSAL OF ORGANIZATION'S FUNDS. NAME OF ENTITY: Community Foundation of Eastern Connecticut ADDRESS: New London, CT INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Charitable giving via Donor Advised Funds CAPACITY: Committee/Council Member (not associated with the Board of Directors) START DATE: 06/01/18 DUTIES: Act as a committee member to discuss recommendations of BBH advisors, performance of the portfolio, and the Foundation's overall investment policy and goals. HOURS DEVOTED PER MONTH: .1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: .1

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-11-04
  • S66 Uniform Combined State Law Examination
    2010-11-04
Other Names
  • Martha Liebler Gibson

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