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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2016-05-09
  • NJ RA
    APPROVED
    Since 2016-05-09

Branch Locations

200 Park Avenue 2Nd Floor, Florham Park, NJ 07932-1026 • United States

Randolph, NJ • 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
OrganizationCityStateFromTo
Rbc Capital Markets, Llc Florham Park NJ 05/2016 Present
Previous Registrations
  • 2003-08-13 → 2016-05-10
    Dover, NJ
    Hackettstown, NJ
    Charlotte, NC
    Hackettstown, NJ
    Hackettstown, NJ
    Short Hills, NJ
    Summit, NJ
  • 2002-11-20 → 2003-08-26
    Quick & Reilly, Inc.
    Summit, NJ
Other Businesses

(1) NAME OF ENTITY: Randolph Twp Board of Education. ADDRESS OF BUSINESS: 25 Schoolhouse Rd, Randolph, NJ 07869. BUSINESS DESCRIPTIONS: Girls High School Basketball. BUSINESS IS NOT INVESTMENT RELATED. PROJECTED START DATE: - 11/21/2016. PROJECTED END DATE: - 03/10/2017. CAPACITY: Employee. DUTIES PERFORMED: Coaching Girls Basketball. HOURS DEVOTED TO THIS OBA PER MONTH: 10. HOURS DEVOTED DURING SECURITY TRADING HOURS PER MONTH: 04.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-11-19
  • S66 Uniform Combined State Law Examination
    2002-11-19

View on SEC IAPD

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