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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 2021-01-07
CT RA APPROVED 2018-01-24
TX RA APPROVED 2018-01-24
  • VI RA
    APPROVED
    Since 2021-01-07
  • CT RA
    APPROVED
    Since 2018-01-24
  • TX RA
    APPROVED
    Since 2018-01-24

Branch Locations

30 Batterson Park Road Suite 350, Farmington, CT 06032 • United States

South Windsor, CT • 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
Wells Fargo Advisors Llc Farmington CT 05/2009 11/2016
Wells Fargo Clearing Services, Llc Farmington CT 11/2016 01/2018
Rbc Capital Markets, Llc. Farmington CT 01/2018 Present
City National Bank Farmington CT 07/2020 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-10-09
  • S66 Uniform Combined State Law Examination
    2006-10-09

View on SEC IAPD

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