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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2015-02-04
TX RA APPROVED 2015-01-21
  • CT RA
    APPROVED
    Since 2015-02-04
  • TX RA
    APPROVED
    Since 2015-01-21

Branch Locations

200 Glastonbury Blvd Suite 103, Glastonbury, CT 06033-4418 • United States

West Hartford, CT • 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 Glastonbury CT 01/2015 Present
City National Bank Glastonbury CT 03/2018 Present
Previous Registrations
  • 2009-06-01 → 2015-01-28
    Hartford, CT
    Hartford, CT
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Hartford, CT
  • 2000-06-05 → 2007-04-02
    Morgan Stanley Dw Inc.
    Hartford, CT
    Hartford, CT
Other Businesses

(1) RIVERFRONT RECAPTURE; 50 COLUMBUS BLVD, HARTFORD, CT 06106; NON PROFIT ORGANIZATION LEADING THE EFFORT TO RECONNECT METROPOLITAN HARTFORD W/CONNECTICUT RIVER; START DATE: 4/1/12; NO ANTICIPATED END DATE; BOARD OF DIRECTORS; ADVICE, GUIDANCE AND ADVOCACY; HOURS PER MONTH: 8 ; HOURS DURING TRADING: 0. (2) ESTATE & BUSINESS PLANNING COUNCIL; ADDRESS: 95 WEST STREET, ROCKY HILL, CT, 06067; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: BUSINESS NETWORKING; CAPACITY: TREASURER; START DATE: 11/6/2018; DUTIES: I WILL PROVIDE THE MONTHLY TREASURER'S REPORT WHICH WILL HIGHLIGHT THE BALANCE IN THE CHECKING ACCOUNT -- PRIMARY FROM ANNUAL MEMBERSHIPS RECEIVED LESS DISTRIBUTIONS FOR PROGRAM EVENTS; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. (3) Name of Entity: Mandell Jewish Community Center of Greater Hartford Address - 335 Bloomfield Ave West Hartford, CT 06117 Business Description - Community and fitness center Business is not investment related Projected Start Date: 02/01/11 Capacity: Board of Directors *, Treasurer Duties Performed: Be an advocate for the JCC; review check ledgers and provide advice/guidance Hours Devoted to this OBA Per Month: 1 Hours Devoted to this OBA during business hours: 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-09-25
S63 Uniform Securities Agent State Law Examination 1996-09-16
  • S65 Uniform Investment Adviser Law Examination
    1996-09-25
  • S63 Uniform Securities Agent State Law Examination
    1996-09-16
Other Names
  • Johnhenry Decker

View on SEC IAPD

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