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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2019-08-21 |
| TX | RA | APPROVED_RES | 2019-08-09 |
Branch Locations
285 Riverside Avenue Suite 335, Westport, CT 06880 • United States
Ridgefield, CT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Greenwich | CT | 11/1997 | 08/2019 |
| Rbc Capital Markets, Llc. | Westport | CT | 08/2019 | Present |
| City National Bank | Westport | CT | 08/2019 | 01/2025 |
1) Name: Soteria Address: Charleston, SC Business Description: Cyber Sec Business is not investment related Projected Start Date: 12/21/20 Capacity: Board of Directors * Duties Performed: Sitting on board in advisory capacity to help with the direction of Soteria. Devoted to this OBA per Month: 2 Hours Devoted to this OBA during business hours: 2
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-02-27 |
| S63 | Uniform Securities Agent State Law Examination | 1998-02-04 |
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