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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-04-23
TX RA APPROVED 2021-04-23
  • CA RA
    APPROVED
    Since 2021-04-23
  • TX RA
    APPROVED
    Since 2021-04-23

Branch Locations

655 W. Broadway Ste 1000, San Diego, CA 92101-8485 • United States

La Jolla, CA • 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 Beverly Hills CA 08/2001 04/2021
Bank Of America, N.A. Beverly Hills CA 09/2009 04/2021
Rbc Capital Markets, Llc San Diego CA 04/2021 Present
City National Bank San Diego CA 05/2021 Present
Previous Registrations
Other Businesses

INVEST RELATED: NO NO FORMAL NAME ADDRESS: 1526 N. DOHENY DR.; LOS ANGELES, CA 90069 POSITION: SECRETARY OF THE FINANCE & ADMINISTRATION COMMISSION DUTIES: SECRETARY OF THE FINANCE & ADMINISTRATION COMMISSION. NAME: 6009 SHADOW VALLEY COVE INVESTMENT RELATED: N ADDRESS OF BUSINESS: SAN DIEGO, CA 92101 NATURE OF BUSINESS: SOLE PROPRIETORSHIP POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 3/1/2005 DUTIES: RENTAL DUPLEX IN AUSTIN, TX THAT I OWN. MANAGED BY APRIL REALTY SERVICES. NAME OF OUTSIDE BUSINESS ORGANIZATION: 8015 PINEDALE COVE INVESTMENT RELATED: N ADDRESS OF BUSINESS: SAN DIEGO, CA 92101 NATURE OF BUSINESS: SOLE PROPRIETORSHIP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 3/1/2005 DUTIES: RENTAL DUPLEX IN AUSTIN, TX THAT I OWN. MANAGED BY APRIL REALTY SERVICES. NAME OF OUTSIDE BUSINESS ORGANIZATION: 8604 TALLWOOD DRIVE INVESTMENT RELATED: N ADDRESS OF BUSINESS: SAN DIEGO, CA 92101 NATURE OF BUSINESS: SOLE PROPRIETORSHIP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 3/1/2005 DUTIES: RENTAL DUPLEX IN AUSTIN, TX THAT I OWN. MANAGED BY APRIL REALTY SERVICES. NAME OF OUTSIDE BUSINESS ORGANIZATION: 7213 OAK MEADOW DRIVE INVESTMENT RELATED: N ADDRESS OF BUSINESS: SAN DIEGO, CA 92101 NATURE OF BUSINESS: SOLE PROPRIETORSHIP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 3/1/2005 DUTIES: RENTAL DUPLEX IN AUSTIN, TX. MANAGED BY APRIL REALTY SERVICES. NAME OF OUTSIDE BUSINESS ORGANIZATION: 7900 WEST GATE BLVD INVESTMENT RELATED: N ADDRESS OF BUSINESS: SAN DIEGO, CA 92101 NATURE OF BUSINESS: SOLE PROPRIETORSHIP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 3/1/2005 DUTIES: RENTAL DUPLEX IN AUSTIN, TX THAT I OWN. PROFESSIONALLY MANAGED BY APRIL REALTY SERVICES NAME OF OUTSIDE BUSINESS ORGANIZATION: 12003 ARROWWOOD DRIVE INVESTMENT RELATED: N ADDRESS OF BUSINESS: SAN DIEGO, CA 92101 NATURE OF BUSINESS: SOLE PROPRIETORSHIP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 3/1/2005 DUTIES: RENTAL DUPLEX THAT I OWN IN AUSTIN, TX. PROFESSIONALLY MANAGED BY APRIL REALTY SERVICES. 523 CUTTY TRAIL INVESTMENT RELATED: N SAN DIEGO, CA 92101 SOLE PROPRIETORSHIP, OWNER, 3/1/2005 RENTAL DUPLEX THAT I OWN IN LAKEWAY, TX. PROFESSIONALLY MANAGED BY APRIL REALTY SERVICES. FOR-PROFIT ORGANIZATION 627 N. SPALDING AVE. N SAN DIEGO, CALIFORNIA 92101 SOLE PROPRIETORSHIP, OWNER, 2/29/2016 1 HOUR(S) ANNUALLY 0 FOR THE APARTMENT BUILDING LOCATED AT 627 N. SPALDING AVE. THAT I HAVE ALREADY DISCLOSED ON A SEPARATE AIM DISCLOSURE, I AM ENTERING INTO AGREEMENT WITH LOCATION SCOUTS TO POTENTIALLY USE MY APARTMENT BUILDING AS A LOCATION FOR PHOTOGRAPY OR FILM/TV RENTAL PROPERTY SAN DIEGO, CALIFORNIA 92103 3/1/2005 5 HOUR(S) RENTAL PROPERTY SAN DIEGO, CALIFORNIA 92103 3/1/2005 5 HOUR(S) RENTAL PROPERTY SAN DIEGO, CALIFORNIA 92103 3/1/2005 5 HOUR(S) RENTAL PROPERTY SAN DIEGO, CALIFORNIA 92103 3/1/2005 5 HOUR(S) RENTAL PROPERTY SAN DIEGO, CALIFORNIA 92103 3/1/2005 5 HOUR(S) RENTAL PROPERTY SAN DIEGO, CALIFORNIA 92103 3/1/2005 5 HOUR(S) *NAME OF ENTITY Rental properties in Austin, TX ADDRESS Personal Residence NOT INVESTMENT RELATED BUSINESS DESCRIPTION Rental duplexes in the Austin, TX area CAPACITY Owner - Active START DATE 03/01/2005 DUTIES Direct management company HOURS DEVOTED PER MONTH 02 *NAME OF ENTITY Apartment building in Los Angeles, CA ADDRESS Personal Residence NOT INVESTMENT RELATED BUSINESS DESCRIPTION Apartment building in Los Angeles, CA CAPACITY Owner START DATE 12/01/2012 DUTIES Direct the management company HOURS DEVOTED PER MONTH 02 NAME OF ENTITY: Rental property ADDRESS: 2665 5th Ave, Unit 704 San Diego, CA 92103 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: My former condo, now a rental property CAPACITY: Owner - Active START DATE: 9/16/2021 DUTIES: Listed unit for rent with real estate agent, will collec the rents and arrange for any repairs that need to be done. HOURS: 1 / 0

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-10-26
  • S66 Uniform Combined State Law Examination
    2001-10-26

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