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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-05-10 |
| TX | RA | APPROVED_RES | 2014-07-02 |
| AL | RA | APPROVED | 2011-11-14 |
| NC | RA | APPROVED | 2011-11-14 |
Branch Locations
6225 Sheridan Drive Suite 318, Williamsville, NY 14221-4800 • United States
19485 Us Route 11, Watertown, NY 13601 • United States
E Amherst, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Watertown | NY | 11/2011 | Present |
| City National Bank | Watertown | NY | 08/2016 | Present |
1) NAME OF ENTITY: Rotary Club Of Watertown NY ADDRESS: No Street Watertown New York 13601 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Other START DATE: 20/08/2025 CAPACITY: Board of Directors DUTIES: Facilitate board meetings. Assist the chair of the board in developing agenda for the monthly board meeting. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours 2) NAME OF ENTITY: Child & Family Services ADDRESS: 330 Delaware Ave Buffalo NY 14202 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Non Profit Human Services Organization START DATE: 09.01.23 CAPACITY: Board of Directors * DUTIES: Volunteer Board Member. General guidance to non-profit. HOURS DEVOTED PER MONTH: 0.5 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 3) NAME OF ENTITY: Child & Family Services ADDRESS: 330 Delaware Ave Buffalo NY 14202 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: 07/06/2024 CAPACITY: Board of Directors DUTIES: Officer of board. There is a paid staff that takes notes from meeting and also paid staff that works with their financial accounts so I will not be doing any of that. Duties will primarily be facilitating meetings when other officers are not there. Other than that, there is not much the Secretary does. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours (4) NAME OF ENTITY: Child & Family Services ADDRESS: 330 Delaware Ave, Buffalo, NY 14202 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: Jun 07, 2024 CAPACITY: Board of Directors DUTIES: Foundation Board Secretary. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-06-09 |
| S63 | Uniform Securities Agent State Law Examination | 1998-03-09 |
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