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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-06 |
| TX | RA | APPROVED_RES | 2014-07-02 |
| CT | RA | APPROVED | 2011-11-14 |
Branch Locations
19485 Us Route 11, Watertown, NY 13601 • United States
Watertown, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Watertown | NY | 11/2011 | Present |
| City National Bank | Watertown | NY | 08/2016 | Present |
(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
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-05-21 |
| S63 | Uniform Securities Agent State Law Examination | 1996-07-18 |
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