James Riggs Stafford

Current Employers

Rbc Capital Markets, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2017-03-31
VI	RA	APPROVED	2017-03-23
MD	RA	APPROVED	2009-03-13

TX RA
APPROVED_RES

Since 2017-03-31
VI RA
APPROVED

Since 2017-03-23
MD RA
APPROVED

Since 2009-03-13

Branch Locations

1201 Wills Street Suite 230, Baltimore, MD 21231-3805 • United States

Baltimore, MD • 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 Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Rbc Capital Markets , Llc	Baltimore	MD	03/2009	Present

03/2009 → Present

Rbc Capital Markets , Llc

Baltimore, MD

Previous Registrations

2003-03-25 → 2009-03-13

Ferris, Baker Watts, Llc

Baltimore, MD

Baltimore, MD

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2003-03-19
S63	Uniform Securities Agent State Law Examination	1996-08-07

S65 Uniform Investment Adviser Law Examination

2003-03-19
S63 Uniform Securities Agent State Law Examination

1996-08-07