Joseph Ijong Chu

Current Employers

Rbc Capital Markets, Llc

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

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2018-08-29
TX	RA	APPROVED_RES	2018-08-29

CT RA
APPROVED

Since 2018-08-29
TX RA
APPROVED_RES

Since 2018-08-29

Branch Locations

1 Landmark Square 12Th Floor, Stamford, CT 06901-2502 • United States

Stamford, CT • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Greenwich	CT	05/2002	08/2018
Bank Of America, Na	Greenwich	CT	09/2009	08/2018
Rbc Capital Markets, Llc.	Stamford	CT	08/2018	Present
City National Bank	Stamford	CT	09/2018	08/2021
City National Bank	Stamford	CT	12/2022	Present

05/2002 → 08/2018

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Greenwich, CT
09/2009 → 08/2018

Bank Of America, Na

Greenwich, CT
08/2018 → Present

Rbc Capital Markets, Llc.

Stamford, CT
09/2018 → 08/2021

City National Bank

Stamford, CT
12/2022 → Present

City National Bank

Stamford, CT

Previous Registrations

2002-08-20 → 2018-08-30

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Stamford, CT

Greenwich, CT

Greenwich, CT

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-08-15

S66 Uniform Combined State Law Examination

2002-08-15