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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-08-06
TX RA APPROVED_RES 2014-07-02
CT RA APPROVED 2011-11-14
  • NY RA
    APPROVED
    Since 2021-08-06
  • TX RA
    APPROVED_RES
    Since 2014-07-02
  • CT RA
    APPROVED
    Since 2011-11-14

Branch Locations

19485 Us Route 11, Watertown, NY 13601 • United States

Watertown, 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
Rbc Capital Markets, Llc Watertown NY 11/2011 Present
City National Bank Watertown NY 08/2016 Present
Previous Registrations
  • 2006-07-10 → 2011-11-14
    Alexandria Bay, NY
    Watertown, NY
    Massena, NY
    Carthage, NY
    Evans Mills, NY
    Cicero, NY
    Oswego, NY
    Fulton, NY
    Baldwinsville, NY
    Watertown, NY
    Lowville, NY
    Evans Mills, NY
    Carthage, NY
Other Businesses

(1) SACRED HEART FOUNDATION; ADDRESS: 668 THOMPSON ST., WATERTOWN, NY 13601; BUSINESS DESCRIPTION: NOT FOR PROFIT; NOT INVESTMENT RELATED; START DATE: 01/01/2017; CAPACITY: BOARD OF DIRECTORS; DUTIES: PRIMARY FUND-RAISING; HOURS DEVOTED PER WEEK: <1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: NONE (2) Name of Entity - Rotary Club of Watertown Sunrise Address - PO Box 6423 Watertown NY 13601 Business Description - Service Club Business is not investment related Projected Start Date: 08/15/2019 Capacity: Officer Duties Performed: The club raises money for local not for profits, primarily children with disabilities. It meets weekly for breakfast. It is also a social organization and will occasionally have club outings for members. Hours Devoted to this OBA per Month: 1 Hour Hours Devoted to this OBA during business hours: 0 (3)Name of Business: Sister's of Saint Joseph Business Description: Roman Catholic Religious Order Business is investment-related: (yes or no) Address: 1425 Washington St Watertown NY 13601 Capacity: Committee/Council Member (not associated with the Board of Directors) Start Date: 10/25/19 Duties: The committee meets twice a year for approximately 1 hour to hear presentations from their outside money managers. Those managers do not include RBC Wealth Management. Hours devoted per month: Approximately 2 to 3 hours per year Hours devoted during securities hours per month: 0 4) NAME OF ENTITY: Henry Keep Home ADDRESS: 1120 Commerce Park Drive East, Watertown, NY 13601 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: 01.01.25 CAPACITY: Board of Directors DUTIES: Assist with oversight of onsite managers and health care providers. Provide guidance regarding financial decisions. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-05-21
S63 Uniform Securities Agent State Law Examination 1996-07-18
  • S66 Uniform Combined State Law Examination
    2004-05-21
  • S63 Uniform Securities Agent State Law Examination
    1996-07-18

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