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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 2022-11-10
NY RA APPROVED 2021-08-05
TX RA APPROVED 2021-08-03
  • VI RA
    APPROVED
    Since 2022-11-10
  • NY RA
    APPROVED
    Since 2021-08-05
  • TX RA
    APPROVED
    Since 2021-08-03

Branch Locations

200 Crescent Court Suite 1500, Dallas, TX 75201 • 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
Raymond James & Associates Dallas TX 04/2012 07/2021
Rbc Capital Markets, Llc Houston TX 08/2021 Present
Previous Registrations
Other Businesses

1)Name of Business : Stuart Enterprises Address: El Paso, TX Nature of the Business: Board Member/Officer/Director Position/Title: Officer - Secretary Investment Related:Yes Start Date: 01/15/2020 Hours per month devoted to this business: 0 Hours per month devoted to this business during trading hours: 0 Description of duties: Family owned business. Role created for ease of transfer ownership (2) Name of Entity: Stuart Enterprises Address: 6904 Villa Hermosa El Paso, TX 79912 Business Description: Family owned bar business Business is/is not investment related: No Projected Start Date: 05/2021 Capacity: Officer Duties Performed: None at the moment but role was created for ease of transfer of ownership at a future date Hours Devoted to this OBA Per Month: 0 Hours Devoted to this OBA during business hours: 0 NAME OF ENTITY: Municipal Advisory Council of Texas ADDRESS: 600 W 8th St. Ste 200, Austin, TX 78701 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: The Municipal Advisory Council of Texas (MAC) is a non-profit membership corporation organized exclusively for non-profit purposes described in section 501(c)(6) of the Internal Revenue Code, including specifically "to promote effective and efficient investment banking, underwriting, trading and sales of municipal debt by collecting, maintaining and distributing information relating to issuing entities." Membership is open to any entity that is authorized to and actively engaged in the business of underwriting or buying and selling municipal debt issued by the State of Texas or its state agencies or political subdivisions and municipalities. The MAC was organized in 1954 and presently has 75 member firms. START DATE: Nov. 17, 2023 CAPACITY: Board Member DUTIES: Serve on the Board of Directors and Investment Committee representative HOURS DEVOTED PER MONTH: 5 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 2

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-03-20
  • S66 Uniform Combined State Law Examination
    2007-03-20
Other Names
  • Chad J. Runnels

View on SEC IAPD

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