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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VI | RA | APPROVED | 2017-03-23 |
| TX | RA | APPROVED_RES | 2015-02-05 |
| MD | RA | APPROVED | 2009-03-13 |
Branch Locations
225 Schilling Circle Suite 250, Hunt Valley, MD 21031-1125 • United States
Baltimore, MD • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets , Llc | Baltimore | MD | 03/2009 | Present |
| City National Bank | Baltimore | MD | 10/2018 | Present |
(1) SCHOOL OF THE CATHEDRAL OF MARY OUR QUEEN; ADDRESS: 111 AMBERLY WAY BALTIMORE, MD 21210; BUSINESS DESCRIPTION: K-8 PAROCHIAL SCHOOL; NOT INVESTMENT RELATED; START DATE: 09/09/2014; CAPACITY: BOARD OF DIRECTORS; DUTIES: ADVISORY BOARD TO BOTH THE RECTOR AND THE PRINCIPAL OF THE SCHOOL; HOURS DEVOTED PER WEEK: .50; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (2) CATHOLIC COMMUNITY FOUNDATION OF THE ARCHDIOCESE OF BALTIMORE; ADDRESS: 320 CATHEDRAL STREET BALTIMORE, MD 2120; BUSINESS DESCRIPTION: FOUNDATION EXISTS TO PROVIDE FINANCIAL SUPPORT TO SECURE THE FUTURE OF PARISH; NOT INVESTMENT RELATED; START DATE: 06/03/2015; CAPACITY: COMMITTEE/COUNCIL MEMBER; DUTIES: INVESTMENT COMMITTEE- ATTEND QUARTERLY MEETINGS/CONFERENCE CALLS TO REVIEW THE PERFORMANCE OF THE CCF ENDOWMENT FUND & MONITOR THE MANAGEMENT OF THE FUNDS PER THE DIRECTION OF THE BOARD OF TRUSTEES; HOURS DEVOTED PER WEEK: 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 3) NAME OF ENTITY: VMI Investment Holdings LLC ADDRESS: VMI Alumni Agencies, 304 Letcher Ave, Lexington, Virignia, 24450 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Educational Institution START DATE:22/07/2025 CAPACITY: Board of Directors DUTIES: Board members of VMI Investment Holdings LLC monitor the endowment investments for the Virginia Military Institute a 4-year public military college in Lexington, Virginia. Board members do not participate in or make any investment decisions. They ask questions of the independent investment manager(s) and monitor the returns. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-02-27 |
| S63 | Uniform Securities Agent State Law Examination | 1997-12-16 |
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