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James Sweiching Lin

Rbc Capital Markets, LLC

Walnut Creek, CA

Dublin, CA

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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-07-15
  • CA RA
    APPROVED
    Since 2022-07-15

Branch Locations

1331 North California Blvd. Suite 650, Walnut Creek, CA 94596 • United States

Dublin, CA • 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 San Francisco CA 08/2004 07/2022
Bank Of America,N.A. San Francisco CA 06/2011 07/2022
Rbc Capital Markets, Llc Walnut Creek CA 07/2022 Present
City National Bank Walnut Creek CA 10/2022 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-12-09
  • S66 Uniform Combined State Law Examination
    2004-12-09
Other Names
  • James S Lin

View on SEC IAPD

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