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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2012-12-12
TX RA APPROVED 2012-12-11
  • CA RA
    APPROVED
    Since 2012-12-12
  • TX RA
    APPROVED
    Since 2012-12-11

Branch Locations

1331 North California Blvd. Suite 650, Walnut Creek, CA 94596 • United States

Moraga, CA • 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 Walnut Creek CA 12/2012 Present
City National Bank Walnut Creek CA 05/2018 Present
Previous Registrations
Other Businesses

1) NAME OF ENTITY: Oakland Land & Cattle Company ADDRESS: 230 Scofield Drive, Moraga, Ca, 94556 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE:22/10/1999 CAPACITY: Owner, Treasurer DUTIES: Secretary Treasurer for Oakland Land & Cattle Company. Its a private hunting club in California. We don't have any earned income. We collect $24k annually for member dues. We spend $24k annually. The club doesn't own any investments. We have a checking account that is used to collect dues and pay annual bills. Oakland Land and Cattle is a non profit organization. I inherited my share 1/8th of Oakland Land & Cattle in October 1999. My role as treasurer is managing our annual budget and paying bills. 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 1998-09-02
S63 Uniform Securities Agent State Law Examination 1998-08-05
  • S65 Uniform Investment Adviser Law Examination
    1998-09-02
  • S63 Uniform Securities Agent State Law Examination
    1998-08-05
Designations

View on SEC IAPD

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