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Christopher Michael Faggioni

Rbc Capital Markets, LLC

Jericho, NY

Smithtown, NY

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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-03-06
NY RA APPROVED 2023-03-02
  • TX RA
    APPROVED_RES
    Since 2023-03-06
  • NY RA
    APPROVED
    Since 2023-03-02

Branch Locations

1 Jericho Plaza Suite 106, Jericho, NY 11753-1635 • United States

Smithtown, 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York NY 10/2009 03/2023
Bank Of America, Na New York NY 01/2010 03/2023
Rbc Capital Markets, Llc New York NY 03/2023 Present
City National Bank New York NY 05/2023 Present
Previous Registrations
  • 2009-10-23 → 2023-03-06
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    New York, NY
    New York, NY
    Melville, NY
    Smithtown, NY
    New York, NY
  • 2008-07-17 → 2009-10-23
    Banc Of America Investment Services, Inc.
    New York, NY
  • 2007-05-29 → 2008-07-24
    Citigroup Global Markets Inc.
    Long Island City, NY
    New York, NY
  • 2004-11-09 → 2007-05-29
    Citicorp Investment Services
    New York, NY
    New York, NY
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-03-31
S63 Uniform Securities Agent State Law Examination 1996-11-18
  • S65 Uniform Investment Adviser Law Examination
    2004-03-31
  • S63 Uniform Securities Agent State Law Examination
    1996-11-18

View on SEC IAPD

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