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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 |
| CA | RA | APPROVED | 2002-05-28 |
Branch Locations
1331 North California Blvd. Suite 650, Walnut Creek, CA 94596 • United States
Lafayette, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Llc | Oakland | CA | 03/2008 | Present |
| City National Bank | Oakland | CA | 06/2017 | Present |
OCCASIONAL FREE-LANCE SPORTS WRITING 2)SPECTRUM SECURITY -P.O. BOX 744, JAMUL, CA 91935 -SECURITY GUARDING OF PRISONERS START-02/03 TO 12/03 -SMALL PRIVATE INVESTMENT RELATED-NO -CONSULTANT DUTIES-ASSIST OWNER IN BUSINESS PLAN COMPENSATION-$5000 -5 HOURS PER MONTH
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-02-20 |
| S63 | Uniform Securities Agent State Law Examination | 1998-02-10 |
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