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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 2025-02-11
NJ RA APPROVED 2020-06-18
PA RA APPROVED 2020-06-10
  • TX RA
    APPROVED_RES
    Since 2025-02-11
  • NJ RA
    APPROVED
    Since 2020-06-18
  • PA RA
    APPROVED
    Since 2020-06-10

Branch Locations

Six Tower Bridge, 181 Washington Street Suite 500, Conshohocken, PA 19428-2000 • United States

Wynnewood, PA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Janney Montgomery Scott Llc Marlton NJ 02/2009 06/2020
Rbc Capital Markets, Llc Conshohocken PA 06/2020 Present
City National Bank Mount Laurel NJ 08/2020 Present
Previous Registrations
Other Businesses

1) MARATHON PARTNERS, LLC.; 114 PENCOYD AVE, BALA CYNWYD, PA 19004; HOUSES RADIO SHOW AND THE EXPENSES WE INCUR; PARTNER; START DATE: 01/01/2002; 20; 0; I AM A PARTNER/RADIO HOST 2) the First Tee of Greater Philadelphia; youth enrichment; 800 Walnut Ln., Philadelphia, PA 19128; start date: 11/19/2019; Advisory board; Provide input to the board of directors and staff of the organization on ways to boost engagement, outreach, and fund raising; 1hr/month; Investment-related 3)Name: Marathon Partners, LLC Address: 6000 Sagemore Dr, Ste 6201 Marlton, NJ 08053 Business Description: LLC for business expenses Business is not investment related Projected Start Date: 06/15/20 Capacity: Other Duties Performed: paying accountant bills, state partnership taxes Devoted to this OBA per Month: 10 Minutes per year Hours Devoted to this OBA during business hours: 0 4)Name: The First Tee of Greater Philadelphia Address: 800 Walnut Lane Philadelphia, PA 19128 Business Description: 503c charity Business is not investment related Projected Start Date: Capacity: Other Duties Performed: attend advisory board meetings, spread awareness of organization Devoted to this OBA per Month: 1 hour Hours Devoted to this OBA during business hours: 0 5) ADDRESS: 1 S 24th St, #2, Longport, NJ 08403; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Rental Property; CAPACITY: Owner/Active; START DATE: 07/01/2021; DUTIES: This is a vacation property owned personally by my wife and I; HOURS DEVOTED PER MONTH: 01; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 01; (6) NAME OF ENTITY: Windchester House HOA; ADDRESS: 21 Via Aurelia Palm Beach Gardens, FL 33418; NOT INVESTMENT RELATED: BUSINESS DESCRIPTION: Non-profit Home Owners Association; CAPACITY: Elected Official (Non-Political Office); START DATE: 06/07/2021; DUTIES: This is a 4 person condominium home owners association. I am being added to have a secondary signor in the event that something happens to the person who currently manages the affairs on behalf of the HOA. HOURS DEVOTED PER MONTH: None; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: None;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-03-04
S63 Uniform Securities Agent State Law Examination 1997-08-13
  • S65 Uniform Investment Adviser Law Examination
    1999-03-04
  • S63 Uniform Securities Agent State Law Examination
    1997-08-13
Designations

View on SEC IAPD

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