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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
VI RA APPROVED 2022-09-28
TX RA APPROVED_RES 2015-02-05
VA RA APPROVED 2009-04-20
  • VI RA
    APPROVED
    Since 2022-09-28
  • TX RA
    APPROVED_RES
    Since 2015-02-05
  • VA RA
    APPROVED
    Since 2009-04-20

Branch Locations

8010 Towers Crescent Drive 4Th Floor, Vienna, VA 22182 • United States

Aldie, VA • 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 Mclean VA 04/2009 Present
City National Bank Mclean VA 01/2018 12/2023
Previous Registrations
  • 2006-02-21 → 2009-05-12
    Mclean, VA
    Mclean, VA
    New York, NY
    Mclean, VA
  • 2001-05-02 → 2006-02-21
    Legg Mason Wood Walker, Incorporated
    Mclean, VA
Other Businesses

NAME OF ENTITY: Rental Property ADDRESS: 420 S Washington Street, Sheffield, Il, 61361 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Real Estate START DATE: 01/05/2025 CAPACITY: Owner DUTIES: Treasurer - Owner and Operator of Rental Property and Income HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-04-06
S63 Uniform Securities Agent State Law Examination 2001-01-17
  • S65 Uniform Investment Adviser Law Examination
    2001-04-06
  • S63 Uniform Securities Agent State Law Examination
    2001-01-17

View on SEC IAPD

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