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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2015-02-05 |
| OH | RA | APPROVED | 2009-03-13 |
Branch Locations
2 Equity Way Suite 200, Westlake, OH 44145 • United States
Avon, OH • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Corporation | Cleveland | OH | 03/2009 | Present |
1) NAME OF ENTITY: Mariner Village Homeowners Association. ADDRESS OF BUSINESS: 600 Mariner Village, Huron OH, 44839. BUSINESS DESCRIPTIONS: Home Owners Association. BUSINESS IS NOT INVESTMENT RELATED. PROJECTED START DATE: - 08/02/2016. PROJECTED END DATE: - 08/02/2018. CAPACITY: Member - Board of Directors. DUTIES PERFORMED: I will assist in the decision making process involving maintenance and improvements of the assocaition property. HOURS DEVOTED TO THIS OBA PER MONTH: 01. HOURS DEVOTED DURING SECURITY TRADING HOURS PER MONTH: None. 2) Name: Mariner Village Condo Owners Assoc Address: 600 Mariner Village Huron, OH 44839 Business Description: Condo Association Business is not investment related Projected Start Date: 09/01/20 Capacity: Board of Directors * Duties Performed: VP Board of Directors. Approve budgets, projects, etc. Devoted to this OBA per Month: 1-2 hours Hours Devoted to this OBA during business hours: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-11-14 |
| S63 | Uniform Securities Agent State Law Examination | 1997-10-28 |
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