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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 2010-02-02
CA RA APPROVED 2008-07-28
  • TX RA
    APPROVED
    Since 2010-02-02
  • CA RA
    APPROVED
    Since 2008-07-28

Branch Locations

4944 Windplay Drive Ste 310, El Dorado Hills, CA 95762 • United States

Shingle Springs, CA • 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
Rbc Capital Markets, Llc El Dorado Hills CA 07/2008 Present
City National Bank El Dorado Hills CA 02/2018 Present
  • 07/2008 → Present
    El Dorado Hills, CA
  • 02/2018 → Present
    City National Bank
    El Dorado Hills, CA
Previous Registrations
  • 2008-01-01 → 2008-07-28
    Santa Barbara, CA
  • 2001-08-07 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Santa Barbara, CA
    Santa Barbara, CA
    St. Louis, MO
Other Businesses

(1) Name of Entity: Awana; Address of Business: 2380 Merrychase Drive Cameron Park CA 95682; Business Description: Overseeing T & T Leaders; Business is not investment related; Start Date - 5/03/2015; Capacity - Director; Duties Performed - Helping other Awana leaders with their group of kids memorize bible scriptures; 0 hours devoted to this OBA per month; 0 hours devoted during security trading hours per month (2) NAME OF ENTITY: Equity Institutional FBO David Deruelle; ADDRESS OF BUSINESS: 3425 Pats Lane, Placerville, CA 95667; BUSINESS DESCRIPTIONS: Rental Property; BUSINESS IS NOT INVESTMENT RELATED; START DATE: 9/10/16; CAPACITY: Other - Will own property; DUTIES PERFORMED: Make decisions on any repairs needed to fix. Pay property taxes and other expenses out of this account' HOURS DEVOTED TO THIS OBA PER MONTH: 01; HOURS DEVOTED DURING SECURITY TRADING HOURS PER MONTH: None. (3) NAME OF ENTITY: Rental Property; ADDRESS OF BUSINESS: 2983, 2981, 2979 Five Mile Road, Placerville, CA 95667; BUSINESS DESCRIPTIONS: Rental Property; BUSINESS IS NOT INVESTMENT RELATED; START DATE: 10/1/2014; CAPACITY: Joint Owner with wife; DUTIES PERFORMED: Choose renters; HOURS DEVOTED TO THIS OBA PER MONTH: <1; HOURS DEVOTED DURING SECURITY TRADING HOURS PER MONTH: None. (4) NAME OF ENTITY: Commercial Investment Property ADDRESS: 4510 Pony Express Trial Camino, CA 95709 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Commercial Investment Property CAPACITY: Other START DATE: 8/10/2021 DUTIES: Owner of the Property HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1 5)NAME: 7042G LLC Non-investment related ADDRESS: 4240 Carlson Court Shingle Springs, CA 95682 Business description: Forming a LLC for liability protection Position/title/Relationship: Manager/part owner of the LLC Start Date: 06/06/22 Hours: 1 hour per month Time devoted during securities trading hours: 1 hour Duties: Manager/part owner of the LLC 6) Name of Entity: 4244 Carlson Court Rental Home Non-Investment related Address of Entity: 4244 Carlson Court Shingle Springs CA 95682 Nature of OBA: Rental Property Position/Title/Relationship: Owner - Active Start Date: 04/01/23 Time devoted: 1hour; 0 during securities trading hours Duties: Manage Rental Home 7) NAME OF ENTITY: Owner occupant investment property ADDRESS: 6363 Pollock Avenue, Pollock Pines, CA 95726 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Rental Property START DATE: 12.02.24 CAPACITY: Owner DUTIES: Repairs needed will be my decision HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-07-23
S63 Uniform Securities Agent State Law Examination 1999-11-05
  • S66 Uniform Combined State Law Examination
    2009-07-23
  • S63 Uniform Securities Agent State Law Examination
    1999-11-05

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