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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2010-02-19
NJ RA APPROVED 2009-01-08
  • TX RA
    APPROVED_RES
    Since 2010-02-19
  • NJ RA
    APPROVED
    Since 2009-01-08

Branch Locations

200 Park Avenue 2Nd Floor, Florham Park, NJ 07932-1026 • United States

Mountainside, NJ • 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
Rbc Capital Markets, Llc Florham Park NJ 01/2009 Present
City National Bank Florham Park NJ 10/2017 Present
Previous Registrations
Other Businesses

NAME OF ENTITY: D&D RE Ponce de Leon, LLC ADDRESS: Joseph DeStephan 2709 Spruce Ave West Palm Beach, FL 33407 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: 5 unit apartment building located in West Palm Beach Florida CAPACITY: Owner - Passive START DATE: 11/15/22 DUTIES: Recieving monthly updates, property manager will deal with tenant issues. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-03-31
S63 Uniform Securities Agent State Law Examination 1998-03-13
  • S65 Uniform Investment Adviser Law Examination
    1998-03-31
  • S63 Uniform Securities Agent State Law Examination
    1998-03-13
Other Names
  • Christopher James Dorsi

View on SEC IAPD

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