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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2017-06-30
TX RA APPROVED_RES 2017-05-08
  • IL RA
    APPROVED
    Since 2017-06-30
  • TX RA
    APPROVED_RES
    Since 2017-05-08

Branch Locations

111 S Wacker Drive Suite 3200, Chicago, IL 60606 • United States

Chicago, IL • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney New York NY 06/2009 05/2017
Rbc Capital Markets, Llc New York NY 05/2017 Present
  • 06/2009 → 05/2017
    Morgan Stanley Smith Barney
    New York, NY
  • 05/2017 → Present
    New York, NY
Previous Registrations
Other Businesses

(1) HARBOUR HOUSE; ADDRESS: 2401 BAYSHORE BLVD. #1211, TAMPA, FL 33629; BUSINESS DESCRIPTION: CONDO RENTAL; NOT INVESTMENT RELATED; START DATE: 08/01/2006; CAPACITY: OWNER-ACTIVE; DUTIES: LANDLORD; HOURS DEVOTED PER WEEK: NONE; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: NONE (2) THE SHEFFIELD CONDOMINIUM; ADDRESS: PERSONAL RESIDENCE; BUSINESS DESCRIPTION: RENTING CONDO; NOT INVESTMENT RELATED; START DATE: 09/01/2017; CAPACITY: OWNER-PASSIVE; DUTIES: RENT TO TENANTS; HOURS DEVOTED PER WEEK: 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: NONE; (3) RAVINIA FESTIVAL ASSOCIATION; ADDRESS: 418 SHERIDAN ROAD, HIGHLAND PARK, IL 60035; BUSINESS DESCRIPTION: MUSIC FESTIVAL; NOT INVESTMENT RELATED; START DATE: 03/17/2018; CAPACITY: BOARD OF DIRECTORS; DUTIES: GENERAL OVERSIGHT; HOURS DEVOTED PER MONTH: 4; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1 (4) NAME OF ENTITY: Litchfield Associates II ADDRESS: 55 E Erie St Apt 4302 Chicago IL 60611 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: 09/05/2025 CAPACITY: Sole Proprietor DUTIES: I will be transferring an existing rental property into this LLC in the coming wks. 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 2003-03-27
S63 Uniform Securities Agent State Law Examination 2002-08-01
  • S65 Uniform Investment Adviser Law Examination
    2003-03-27
  • S63 Uniform Securities Agent State Law Examination
    2002-08-01
Designations

View on SEC IAPD

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