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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2020-06-18
DC RA APPROVED 2020-06-03
TX RA APPROVED 2020-05-22
  • VA RA
    APPROVED
    Since 2020-06-18
  • DC RA
    APPROVED
    Since 2020-06-03
  • TX RA
    APPROVED
    Since 2020-05-22

Branch Locations

8010 Towers Crescent Drive 4Th Floor, Vienna, VA 22182 • United States

Leesburg, VA • 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
Ubs Financial Services Inc Washington DC 01/2012 05/2020
Rbc Capital Markets, Llc Mclean VA 05/2020 Present
Previous Registrations
Other Businesses

1)LIFEVANTAGE CORPORATION / NETWORK MARKETING/ 9815 S. MONROE STREET, SUITE 100 SANDY, UT 84070 / INDEPENDENT DISTRIBUTOR/ START DATE 6/17/2013 - / 15 HRS 2)Name: Life Vantage Address: 9815 S. Monroe Street Suite 100 Sandy UT 84070 Business Description: Network Marketing Company Business is not investment related Projected Start Date: 06/20/13 Capacity: Independent Contractor/Consultant Duties Performed: independent distributor of the nutrigenomics products offered by the company Devoted to this OBA per Month: Varies- 5- 7 Hours Hours Devoted to this OBA during business hours: 0 3) NAME OF ENTITY: Beautycounter LLC ADDRESS: Santa Monica CA INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Network Marketing Company - Clean and safe beauty/skin products CAPACITY: Independent Contractor/Consultant START DATE: 07.21.23 DUTIES: it is simply sharing with my friends and family who are looking for cleaner products for their skin. HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (4) NAME OF ENTITY: BNI Business Networking International ADDRESS: River Creek Country Club, 43800 Olympic Blvd, Leesburg, VA 20176 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: May 05, 2026 CAPACITY: Treasurer, Other DUTIES: Looking to fill the role of secretary/treasurer for the BNI Leesburg Leaders chapter. This is a business networking group. HOURS DEVOTED PER MONTH: 8 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 8

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-09-20
  • S66 Uniform Combined State Law Examination
    2006-09-20
Other Names
  • Dianne Elizabeth Bartol

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