Daniel Storey Henry

Current Employers

Rbc Capital Markets, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2009-02-18
CA	RA	APPROVED	2009-02-17

TX RA
APPROVED_RES

Since 2009-02-18
CA RA
APPROVED

Since 2009-02-17

Branch Locations

Becket, MA • United States

610 Newport Center Drive Suite 900, Newport Beach, CA 92660-6448 • United States

Irvine, CA • 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

Organization	City	State	From	To
Rbc Capital Markets Corporation	Newport Beach	CA	02/2009	Present
City National Bank	Newport Beach	CA	05/2017	Present

02/2009 → Present

Rbc Capital Markets Corporation

Newport Beach, CA
05/2017 → Present

City National Bank

Newport Beach, CA

Previous Registrations

2007-04-02 → 2009-02-18

Morgan Stanley & Co. Llc

Newport Beach, CA
2005-05-18 → 2007-04-02

Morgan Stanley Dw Inc.

Newport Beach, CA

Newport Bch, CA
1998-04-23 → 2005-05-27

Ubs Financial Services Inc.

Newport Beach, CA

Other Businesses

(1) NAME OF ENTITY: Rental Property ADDRESS: 32 Robinson Avenue Bedford Hills, New York 10507 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Single Family Rental CAPACITY: Owner - Passive START DATE: 05/01/23 DUTIES: Monitor outside property manager who takes care of property and pay certain bills HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (2) NAME OF ENTITY: Rental Property ADDRESS: 40 S. Church Street Bedford Hills, NY INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Single Family Rental CAPACITY: Owner - Passive START DATE: 05/01/23 DUTIES: Monitor Outside Property Manager and pay bills HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (3) NAME OF ENTITY: Rental Property ADDRESS: 46 Old Bedford Road Goldens Bridge, NY INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Single Family Rental CAPACITY: Owner - Passive START DATE: 05/01/23 DUTIES: I will monitor outside property manager in New York and pay certain bills HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (4) NAME OF ENTITY: Rental Property ADDRESS: 2 Owens Road Croton Falls, NY INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Single Family Rental CAPACITY: Owner - Passive START DATE: 05/01/23 DUTIES: Monitoring Outside Poperty Manager in New York and paying certain invoices HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1998-04-06
S65	Uniform Investment Adviser Law Examination	1998-04-06

S63 Uniform Securities Agent State Law Examination

1998-04-06
S65 Uniform Investment Adviser Law Examination

1998-04-06

View on SEC IAPD