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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 2020-06-09
TX RA APPROVED_RES 2020-06-03
  • CT RA
    APPROVED
    Since 2020-06-09
  • TX RA
    APPROVED_RES
    Since 2020-06-03

Branch Locations

30 Batterson Park Road Suite 350, Farmington, CT 06032 • United States

East Haddam, CT • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated New London CT 06/2009 06/2020
Bank Of America, N.A. New London CT 08/2011 06/2020
Rbc Capital Markets, Llc Farmington CT 06/2020 Present
City National Bank Farmington CT 12/2020 Present
Previous Registrations
Other Businesses

1) I*115618 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: VALLEY SHORE YMCA INVESTMENT RELATED: N ADDRESS OF BUSINESS: WESTBROOK, CONNECTICUT 6498 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 7/1/2018 NUMBER OF HOURS DEVOTED: 8 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: WORK AS PART OF AS COMMITTEE TO FUND A CAPITAL IMPROVEMENT PLAN . 2) I*120217 For profit or not for profit: Non-Profit Organization Name of outside business organization: Ray School Corporation Investment related: N Address of business: Moodus, Connecticut 06469 Nature of business: Charitable Organization, Position, title, association: Committee Member, Start date of relationship: 1/23/2019 Number of hours devoted: 3 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Donates money to support vocational education programs in the town of East Haddam, CT 3) Name: Ray School Corporation Address: 1 Plains Rd Moodus, CT 06469 Business Description: Endowment supporting education in East Haddam, CT Business is not investment related Projected Start Date: 05/01/19 Capacity: Board of Directors * Duties Performed: I offer my incite and opinion on the issues presented to the board in support of technical and industrial arts education. Devoted to this OBA per Month: 1 Hours Devoted to this OBA during business hours: 0 4) Name: Valley Shore YMCA Campaign Cabinet Address: 200 RT 166 Westbrook, CT 06498 Business Description: YMCA Business is not investment related Projected Start Date: 04/01/19 Capacity: Committee/Council Member (not associated with the Board of Directors) Duties Performed: Working with a board of committed local influencers, we are introducing the needs of the YMCA to the community as we fund the expansion of the facility. Devoted to this OBA per Month: 1 Hours Devoted to this OBA during business hours: 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-01-13
S63 Uniform Securities Agent State Law Examination 1998-01-07
  • S65 Uniform Investment Adviser Law Examination
    1998-01-13
  • S63 Uniform Securities Agent State Law Examination
    1998-01-07

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